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HSBC Investment Advisers Act of 1940

Dorsey & Whitney LLP

HSBC Unit Settles Unregistered Broker-Advisor Charges With SEC

Dorsey & Whitney LLP on

A Swiss unit of U.K. financial services giant HSBC Holdings plc. settled charges that the firm repeatedly sold securities and rendered advisory services in the U.S. without registering with the Commission despite legal advice...more

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