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Public Disciplinary Actions
SFC fines UBS HK$11.55m for regulatory breaches
SFC
SFC, 03-Aug-2021
Orgs
SFC fines UBS HK$4.5m in relation to facilitation trading activities
SFC, 21-Mar-2018
Orgs
SFC fines Ms Wan Xing of UBS HK$200k
SFC, 01-Mar-2016
Ms Wan told her clients they could sell the new BYD shares 2 days before the placing was due to complete, but they shouldn't have, because the placing might not have completed. In the end it did though.
Orgs
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