SFC fines CIC Investor Services for failuresGeorgina LeeNov 14, 2012The French firm did not comply with regulations on treating clients as professional investors nor keeping adequate records of investment advice to customers between 2004 and 2010.
Value Partners fined for compliance breachJame DiBiasioApr 7, 2004Hong Kong''s SFC pursued the fund manager for not disclosing a stake in Bright International stock.