HK regulator suspects brokers of inadequate AML controls

Sep 21, 2016

The city's Securities and Futures Commission has identified areas of concern related to anti-money laundering controls and is investigating several firms.

HK regulator suspects brokers of inadequate AML controls

Hong Kong’s securities regulator is investigating several brokerages it suspects of having inadequate anti-money laundering (AML) internal controls and expects to bring a number of enforcement proceedings as a result.

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