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Violation Tracker Individual Record

Company: China Shenghai Investment Management Limited
Penalty: $4,300,000
Year: 2014
Date: February 11, 2014
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: Two Hong Kong-based asset management firms whose accounts were frozen in a major insider trading case have to pay nearly $11 million to settle the charges against them.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.