• Join today
  • Register for free newsletter
  • Sign In
  • Home
  • News
    • National Compliance Officer Day 2025
    • Accounting & Auditing
    • AI
    • AML
    • Anti-Bribery
    • Best Practices
    • Boards & Shareholders
    • Cryptocurrency and Digital Assets
    • Culture
    • ESG/Social Responsibility
    • Ethics & Culture
    • Europe
    • Financial Services
    • Internal Controls
    • Regulatory Enforcement
    • Regulatory Policy
    • Risk Management
    • Sanctions
    • Surveys & Benchmarking
    • Supply Chain
    • Third Party Risk
    • Whistleblowers
  • Benchmarking
  • Certification
  • Events
    • CW National Conference
    • CPE Accreditation Information
    • Webcasts
  • Research
    • Case Studies
    • Inside the Mind
    • e-Books
    • Survey Reports
    • Thought Leadership
    • Magazine Archive
  • Awards
  • CW Connect
  • Membership
  • Contact Us
  • Instagram
  • Linkedin
  • Email us
Skip to content
Compliance Week

Compliance Week

News, Events & Thought Leadership for the Chief Compliance Officer

  • Join today
  • Register for free newsletter
  • Sign In
Sign In
  • Home
  • News
    • National Compliance Officer Day 2025
    • Accounting & Auditing
    • AI
    • AML
    • Anti-Bribery
    • Best Practices
    • Boards & Shareholders
    • Cryptocurrency and Digital Assets
    • Culture
    • ESG/Social Responsibility
    • Ethics & Culture
    • Europe
    • Financial Services
    • Internal Controls
    • Regulatory Enforcement
    • Regulatory Policy
    • Risk Management
    • Sanctions
    • Surveys & Benchmarking
    • Supply Chain
    • Third Party Risk
    • Whistleblowers
  • Benchmarking
  • Certification
  • Events
    • CW National Conference
    • CPE Accreditation Information
    • Webcasts
  • Research
    • Case Studies
    • Inside the Mind
    • e-Books
    • Survey Reports
    • Thought Leadership
    • Magazine Archive
  • Awards
  • CW Connect
  • Membership
  • Contact Us
Posted inEurope

HSBC unit fined $2M by FINRA over long-running disclosure lapses

by Jeff Dale October 10, 2023October 12, 2023

Share this:

  • Share on Facebook (Opens in new window) Facebook
  • Share on X (Opens in new window) X

A U.S. affiliate of British bank HSBC agreed to pay $2 million as part of a settlement with the Financial Industry Regulatory Authority (FINRA) addressing alleged inaccurate disclosures related to conflicts of interest.

HSBC Securities (USA) agreed to be censured and certify its compliance in reaching settlement, according to a FINRA disciplinary action published Monday.


Learn More
Already a member? Sign in to an existing account.
Tagged: CW Subscriber Only

Filter your search
By Type
By Topic
By Region
By Writer
By Date

Selecting a preset overrides the custom range.

Clear

Most Popular

Preparing for the EU’s anti-corruption directiveApril 20, 2026
Why compliance managers should be looking for career opportunities in national security teamsApril 16, 2026
Lafarge guilty of financing terror, execs jailedApril 17, 2026
Why Employees Break Policies They Signed — And How to Fix ItApril 1, 2026
FCA sets out plans for industry to compensate 12.1 million for car finance scandalApril 16, 2026

Interested in writing for CW?

Compliance Week accepts outside contributions from corporate chief compliance officers and other senior-level GRC practitioners. To learn more, contact the CW Editor.


  • Contact us
  • Advertise
  • My CW
  • CW Advisory Board
  • Email Preferences
  • CW Staff
  • Help
  • Media Inquiries
  • Media Toolkit
  • Editorial Submissions
  • Reprints
  • Search
  • Terms and Conditions
  • Do Not Sell My Info
© 2026 Compliance Week, Inc. Powered by Newspack Privacy Policy
  • Instagram
  • Linkedin
  • Email us

Sign in

Or

Sign in by entering the code we sent to , or clicking the magic link in the email.

Forgot password
Continue Set a password (optional)

Gift this article

 

Loading Comments...