The Securities and Futures Commission (SFC) has reprimanded and fined Julius Baer HK$3m (US$385,604). The action has every appearance of being a well-lawyered settlement between the bank and the SFC. First the wording of the SFC’s statement is mild, saying simply in a statement that the “SFC resolves compliance concerns with Julius Baer”. Also highly consistent with a settlement scenario,…
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