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SFC Publicly Reprimands and Fines Guotai Junan HK$25.2 million

Hong Kong Law

June 2020

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Charltons - Hong Kong Law - 506 - 29 June 2020

SFC Publicly Reprimands and Fines Guotai Junan

Anti-Money Laundering and Counter-Terrorist Financing Ordinance

Placing Activities Hong Kong

Suspicious transaction reporting Hong Kong

SFC reprimands and fines Guotai Junan Securities (Hong Kong) Limited $25.2 million for breaches relating to anti-money laundering and other regulatory requirements

Money laundering Hong Kong

Terrorist financing Hong Kong

Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
Guideline on Anti-Money Laundering and Counter-Terrorist Financing
SFC internal controls
Wash trade Hong Kong
Third party deposits SFC