HK regulator raps Credit Suisse for research report failures

Hong Kong’s securities watchdog has fined Credit Suisse HK$2.8m ($357,770) for failing to meet disclosure requirements when publishing research reports about Hong Kong-listed securities.

  • By Jonathan Breen
  • 19 Jun 2019

Credit Suisse did not disclose its investment banking relationships with companies that were included in certain research reports on Hong Kong stocks, the Securities and Futures Commission said on Wednesday.

The reports in the spotlight were published between 2006 and August 11, 2016, and were the result of ...

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Rank Arranger Share % by Volume
1 Bank of China (BOC) 23.56
2 Industrial and Commercial Bank of China (ICBC) 16.09
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4 Agricultural Bank of China (ABC) 6.90
5 HSBC 5.75

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1 Goldman Sachs 11,530.84 52 7.12%
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1 HSBC 28,914.05 253 8.42%
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