SFC - Securities and Futures Commission

The Securities and Futures Commission (SFC) has reprimanded Fulbright Securities Limited (Fulbright) and fined it $3.6 million for internal control failures relating to short selling and for failing to report related short selling incidents to the SFC in a timely manner as required by the SFC’s Code of Conduct (Notes 1 & 2).


Published on Dec. 23th, 2020 Published on Dec. 23th, 2020

To read more operational risk news, register for free on MSTAR Platform.

Register for free