The Shanghai bureau of the China Securities Regulatory Commission (CSRC) has issued a formal warning to the asset management arm of Huatai Securities for control failures in its front and middle offices. In a letter, dated February and published on the regulator’s website, the bureau said the company had failed in its management of client data. It saw risks stemming…
To access this content, please click back to the home screen, then click “Menu” (bars in top left bars) and then “Login”.
To enquire for a free trial, please start here.
Need more help? Click here or email [email protected].
To enquire for a free trial, please start here.
Need more help? Click here or email [email protected].
Subscriber Only Content
This article is available on a corporate subscription with Asian Private Banker. Please login or subscribe to view this content.
Need help? Please see our FAQ Guide or email [email protected]
Have a confidential tip? Get in touch [email protected]
