SFC fines Deutsche Securities Asia HK$2.45 million for incorrect prime brokerage client statements

25 June 2021 | 2 minutes read

The Hong Kong Securities and Futures Commission (SFC) has fined Deutsche Securities Asia Limited (DSAL) HK$2.45 million (US$315,000) for issuing incorrect statements to its prime brokerage clients and delaying reporting its failures to the SFC, according to the regulator’s website. DSAL is licensed to carry on Type 1 (dealing in securities), Type 2 (dealing in futures contracts) and Type 6…

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