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 investigation after receiving Black Marble Securities’ report of a client complaint against one of its...
Source: webb-site.com