Hong Kong regulator fines UBS for investor misclassification-February 2024-www.financetom.com

Hong Kong regulator fines UBS for investor misclassification

News World Market Environment Technology Personal Finance Politics Retail Business Economy Cryptocurrency Forex Stocks Market Commodities

Hong Kong regulator fines UBS for investor misclassification

Oct 20, 2025 2:17 AM

HONG KONG, Oct 20 (Reuters) - Hong Kong's Security

Regulator (SFC) said on Monday that it had reprimanded Swiss

bank UBS AG and fined it HK$8 million ($1.03 million)

for misclassifying its clients' professional investor status for

more than 12 years.

($1 = 7.7675 Hong Kong dollars)

Previous page： Goliath Resources Notes Strategic Investors Participating in Exercise of Warrants Next page： US Steel Faces Q1 Pressures, But Eyes Long-Term Gains From BR2 & Nippon Partnership

Comments

Welcome to financetom comments! Please keep conversations courteous and on-topic. To fosterproductive and respectful conversations, you may see comments from our Community Managers.

Show More Comments

Related Articles >

Goliath Resources Notes Strategic Investors Participating in Exercise of Warrants

Mar 21, 2025

06:38 AM EDT, 03/21/2025 (MT Newswires) -- Goliath Resources ( GOTRF ) on Friday said two of its strategic investors have participated in warrant exercises, resulting in roughly $3.2 million in warrant exercises received since Jan. 1. Crescat Capital, which owns about 14.4%, and Rob McEwen, who owns about 3.9%, have participated in warrant exercises. There still remains a total...

US Steel Faces Q1 Pressures, But Eyes Long-Term Gains From BR2 & Nippon Partnership

Mar 21, 2025

United States Steel Corporation ( X ) shares are trading lower premarket on Friday. On Thursday, the company guided for the first quarter of 2025 adjusted EPS loss of 53 cents – 49 cents vs. consensus loss of 30 cents. Also, the company expects adjusted EBITDA of about $125 million in the first quarter of 2025, in line with prior first...

Johnson & Johnson to Invest Over $55 Billion in US Over Next Four Years

Mar 21, 2025

06:29 AM EDT, 03/21/2025 (MT Newswires) -- Johnson & Johnson ( JNJ ) said Friday it will invest over $55 billion in manufacturing, research and development, and technology in the US over the next four years. As part of the investment, the company has started construction of a high-tech site in Wilson, North Carolina. It added that it will also...

Sulliden Mining Capital to Launch Summer Exploration at East Sullivan

Mar 21, 2025

06:22 AM EDT, 03/21/2025 (MT Newswires) -- Sulliden Mining Capital (SMC.TO) late on Thursday said it plans to conduct summer exploration at its East Sullivan copper gold project in Quebec. The project is located in proximity and on strike with the Triangle deposit, an underground mine operated by Eldorado Gold (ELD.TO) on its Lamaque property. Sulliden's concession covers 334 hectares...