Responding to SFC Enforcement Action: New Tactics?
Mondaq Business Briefing › Hong Kong Law Articles in English (2007)
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Responding to SFC Enforcement Action: New Tactics?
The Securities and Futures Ordinance ("SFO") establishes the framework by which licensed or registered persons are regulated. Where they misconduct themselves, it provides for them to be disciplined and, in some cases, subjected to criminal proceedings or proceedings before the Market Misconduct Tribunal ("MMT").
Under this framework, disciplinary sanctions may be imposed on licensed and registered persons for conduct which may also serve as the subject of criminal offences. Perhaps more significantly, disciplinary sanctions...See the full content of this document
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