HK SFC fines firm over short selling order failures

31st October, 2019

Oliver Wade
Hong Kong

HK's authority found "internal control failures and regulatory breaches related to short selling orders"

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ABN AMRO
Bank of America
CBOE
Citi
Goldman Sachs
DRW Holdings
HSBC
J.P Morgan
Marex
Morgan Stanley
SGX
SocGen
Susquehanna
MUFG Investor Services
TP ICAP
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