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Hong Kong securities regulator hits repeat offender Deutsche Bank with $3M fine

2025-09-05T18:10:00Z

Deutsche Bank has agreed to pay a $3 million fine and has returned $5 million in fee overcharges to customers as part of a resolution with Hong Kong’s financial services regulator.

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Hong Kong regulator fines UBS $1.5M for compliance failings

2021-08-04T17:22:00Z

Hong Kong’s securities regulator fined Swiss bank UBS and a subsidiary a total of HK$11.55 million (U.S. $1.5 million) for various compliance failures.