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Jack Tsang
Jack Tsang

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Nov 14, 2022

Summary Review of SFC’s Disciplinary Action against Swiss-Asia

On 8 November 2022, SFC fined Swiss-Asia Asset Management (HK) Limited $3 million for internal control failings and regulatory breaches in relation to the monitoring of trading activities in discretionary accounts and record keeping. In mid-April 2015, a client signed an asset management mandate granting Swiss-Asia full discretionary power to…

Swiss Asia

2 min read

Swiss Asia

2 min read

Jack Tsang

Jack Tsang

11 Followers

Compliance and Training Professional in Financial Services Industry

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