Hong Kong’s securities regulator is getting tough on financial companies suspected of misconduct. Photo: Shutterstock

Hong Kong securities watchdog’s vigilance snares another errant financial firm, slaps US$1.2 million fine

  • BOCI Securities disciplined for the second time since 2009 for regulatory breaches relating to sale of investment products
  • Fine comes close on the heels of HK$786.7 million fine imposed last week on UBS, Morgan Stanley, Merrill Lynch and Standard Chartered
Topic |   SFC

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Hong Kong’s securities regulator is getting tough on financial companies suspected of misconduct. Photo: Shutterstock
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