SFC fines Black Marble Securities Ltd HK$1.8m for internal control failings and regulatory breaches
SFC fines Black Marble Securities Ltd HK$1.8m for internal control failings and regulatory breaches The firm is owned by Lerado Financial (1225), part of the Enigma Network. Further information Issue date: 2021-03-31 17:31:24 The Securities and Futures Commission (SFC) has reprimanded and fined Black Marble Securities Limited (Black Marble Securities) $1.8 million for internal control failings and breaches of the SFC’s Code of Conduct (Notes 1 & 2). The disciplinary action follows an SFC inve...
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Source: webb-site.com