The Securities and Futures Commission on Tuesday separately fined CLSA and Deutsche Bank’s subsidiaries for lapses related to securities trading. Photo: SCMP

Hong Kong securities regulator fines and reprimands CLSA, Deutsche Bank

The securities watchdog fined CLSA for internal control failures related to its equities trading business and Deutsche Bank for regulatory breaches

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The Securities and Futures Commission on Tuesday separately fined CLSA and Deutsche Bank’s subsidiaries for lapses related to securities trading. Photo: SCMP
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