SFC fines Schroder Investment Management HK$1.8m for disclosure failures
SFC, 15-Jun-2016
Schroder failed to include in its disclosures of interests shares in client portfolios for which it did not have proxy voting rights. 236 corrected notices were filed in early 2013, but the filings for 2005-2010 remain uncorrected because of different storage formats and systems.