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BankingInsuranceSecurities.Com

Nominal attention by compliance officer led to severe reprimand

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Hong Kong's Securities and Futures Commission has severely reprimanded Selina & Co Limited and reprimanded a director who, despite having responsibility for compliance matters, paid only nominal attention to those duties. It's the case that created new resolve at the SFC that compliance failures would no longer be dealt with by reprimand only.

BIScom Subsection:

Enforcement

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