| 2024-01-04 | regulatory | SEBI HAS ISSUED A SHOW CAUSE NOTICE DATED JANUARY 4, 2024, UNDER RULE 4 OF SEBI (PROCEDURE FOR HOLDING INQUIRY AND IMPOSING PENALTIES) RULES, 1995 TO ONE OF THE KEY EMPLOYEES OF THE AMC IN A MATTER PERTAINING TO HIS PAST EMPLOYER AND ALONG WITH OTHERS, ALLEGING VIOLATION OF SEBI REGULATIONS. | Final | $23K |
| 2023-11-06 | regulatory | SEBI ISSUED A SCN DATED NOV 06, 2023 UNDER SECTION 15-I(3) OF SEBI ACT, 1992 CALLING UPON AMIN TO SHOW CAUSE AS TO WHY THE AO ORDER DATED AUG 23, 2023 SHOULD NOT BE REVISED UNDER SECTION 15-I(3) OF SEBI ACT, 1992. | Final | $6K |
| 2023-08-04 | regulatory | THE LOCAL REGULATOR, SECURITIES AND EXCHANGE BOARD OF INDIA (SEBI) ISSUED A SHOW CAUSE NOTICE DATED 04 AUGUST 2023, TO THE ADVISORY FIRM AND THE MEMBERS OF THE FUND TRUSTEES AS ON THAT DATE, (HEREINAFTER REFERRED TO AS "SAID TRUSTEES") ALLEGING VIOLATION OF REGULATION 18(9) OF THE SEBI (MUTUAL FUNDS… | Final | $29K |
| 2023-05-24 | regulatory | IN MAY 2023 THE COMPETITION AND MARKETS AUTHORITY ISSUED A STATEMENT OF OBJECTIONS TO FIVE BANKS (DEUTSCHE BANK, MORGAN STANLEY, ROYAL BANK OF CANADA, CITI, AND HSBC). IN FEBRUARY 2025, THE COMPETITION AND MARKETS AUTHORITY ANNOUNCED THAT IT HAD REACHED A SETTLEMENT WITH HSBC. HSBC ACCEPTED THAT A S… | Final | $30.0M |
| 2022-06-14 | regulatory | THE INDIAN REGULATOR, SECURITIES & EXCHANGE BOARD OF INDIA HAD ISSUED A SHOW CAUSE NOTICE DATED 14 JUNE 2022 TO LTIML, AN ADVISORY AFFILIATE AND CERTAIN EMPLOYEES OF LTIML ALLEGING CERTAIN DEFICIENCIES AND NON-COMPLIANCES WITH RESPECT TO CERTAIN PROVISIONS OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN… | Final | $141K |
| 2021-12-02 | regulatory | THE EUROPEAN COMMISSION IN DECEMBER 2021 COMPLETED A CARTEL INVESTIGATION INTO THE FOREIGN EXCHANGE ('FOREX') SPOT TRADING MARKET BY IMPOSING FINES ON FIVE FINANCIAL INSTITUTIONS, INCLUDING HSBC HOLDINGS PLC. THE COMMISSION'S INVESTIGATION FOCUSED ON THE TRADING OF THE G10 CURRENCIES. THE COMMISSION… | Final | $197.0M |
| 2018-01-18 | regulatory | IN JANUARY 2018, FOLLOWING THE CONCLUSION OF THE US DEPARTMENT OF JUSTICE'S (DOJ) INVESTIGATION INTO HSBC'S HISTORICAL FOREIGN EXCHANGE ACTIVITIES, HSBC HOLDINGS ENTERED INTO A THREE-YEAR DEFERRED PROSECUTION AGREEMENT WITH THE CRIMINAL DIVISION OF THE DOJ (THE FX DPA), REGARDING FRAUDULENT CONDUCT… | Final | $101.5M |
| 2017-09-29 | regulatory | IN SEPTEMBER 2017, FOLLOWING THE CONCLUSION OF THE US FEDERAL RESERVE BOARD'S REVIEW OF THE EFFECTIVENESS OF HSBC'S FX PRACTICES DURING THE PERIOD OF OCTOBER 2008 THROUGH OCTOBER 2013, HSBC HOLDINGS PLC AND HSBC NORTH AMERICA HOLDINGS INC. ENTERED INTO A CONSENT ORDER REGARDING CERTAIN DEFICIENCIES… | Final | $175.3M |
| 2017-04-12 | regulatory | THE SECURITIES AND EXCHANGE BOARD OF INDIA, THE REGULATORY AUTHORITY FOR SECURITIES AND COMMODITIES MARKET IN INDIA, BY LETTER DATED APRIL 11, 2017 INFORMED HSBC SECURITIES & CAPITAL MARKETS (INDIA) PRIVATE LIMITED (HSCI) REGARDING THE INITIATION OF ADJUDICATION PROCEEDINGS UNDER SEBI ACT, 1992. THE… | Final | — |
| 2016-12-07 | regulatory | IN DECEMBER 2016, THE EUROPEAN COMMISSION (THE 'COMMISSION') ISSUED A DECISION THAT IN EARLY 2007 HSBC, AMONG OTHER BANKS, COLLUDED ON EURO INTEREST RATE DERIVATIVE PRICING ELEMENTS, AND EXCHANGED RELATED SENSITIVE INFORMATION, IN BREACH OF EU ANTITRUST RULES. THE COMMISSION DETERMINED THAT THE DURA… | Final | $37.8M |