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HK broker fined, rep officer banned over deficiencies

Suzy Waite
The SFC has fined China Securities Holdings HK$1.3 million, citing employing unlicensed dealing staff, limited supervision and insufficient record keeping.
HK broker fined, rep officer banned over deficiencies

Hong Kong’s securities regulator has fined China Securities Holdings HK$1.3 million ($193,435) and banned its responsible officer for two years for what it brands "a number of serious deficiencies".

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