SFC raps Morgan Stanley for internal control failures
The Securities and Futures Commission (SFC) has reprimanded Morgan Stanley Hong Kong Securities over internal control failures, slapping a fine of HK$18.5m ($2.4m) on the US bank.
Unlock this article.
The content you are trying to view is exclusive to our subscribers.
To unlock this article:
- ✔ 4,000 annual insights
- ✔ 700+ notes and long-form analyses
- ✔ 4 capital markets databases
- ✔ Daily newsletters across markets and asset classes
- ✔ 2 weekly podcasts