The Securities and Futures Ordinance - Guidelines for Dealing with an On-site Investigation Conducted by the SFC at a Company's Premises
Mondaq Business Briefing › Hong Kong Law Articles in English (2011)
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The Securities and Futures Ordinance - Guidelines for Dealing with an On-site Investigation Conducted by the SFC at a Company's Premises
Originally published 11 February 2011
Keywords: Securities and Futures Ordinance, Hong Kong, on-site investigation, SFC, financial regulators The Securities and Futures Ordinance (Cap. 571) (SFO) empowers the Securities and Futures Commission (SFC) to enter business premises of corporates and residential premises of employees (or any subjects of an investigation) to search for documents and information relevant to an investigation, copy or confiscate relevant materials, and conduct questioning of individuals (which may be conducted on the spot or by serving a formal notice on such individuals setting out the date and place of the interview). These guidelines provide some general guidance for business representatives of a company in the event an investigation is conducted at the company's premises. Please note, however, these guidelin...See the full content of this document
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