All Entries in the "Julius Baer" Category
HK SFC Resolves Compliance Concerns With Julius Baer Hong Kong
The Securities and Futures Commission (SFC) has resolved its compliance concerns with Julius Baer (Hong Kong) Ltd (Julius Baer) (Note 1). Under the resolution, the SFC reprimands and fines Julius Baer $3 million. An SFC investigation revealed that Julius Baer, which is licensed to provide services only to professional investors, failed: • to take adequate [...]
