Regulatory Insights

  • ComplianceAsia Hong Kong - Hong Kong Enforcement Update - CESL CSR Breach (September 2020)

    On 29 September 2020, the SFC has reprimanded and fined China Everbright Securities (HK) Limited (CESL) HK$2.5 million for pledging its clients' securities to banks without having the proper authorisations in place.

    For the full update on this, please click here.