Industrial and Commercial Bank of China Financial Services LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/23/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140418319-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Industrial and Commercial Bank of China Financial Services LLC, Respondent Broker-Dealer CRD No. 131487 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Industrial and Commercial Bank of China Financial Services LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent
Reference 2014041831901data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/16/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045550801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Industrial and Commercial Bank of China Financial Services LLC, Respondent CRD No. 131487 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Industrial and Commercial Bank of China Financial Services LLC ("ICBCFS," or the "Firm") submits this Letter of Acceptance of Waiver and Consent
Reference 2015045550801data-portal.finra.orgfinra.org
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