Violation Tracker Individual Record
Company:CITIC Securities International Investment Management (HK) Limited
Date:February 11, 2014
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
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:
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