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Categories Financial Services Regulatory, Commercial and Litigation

Challenging the admissibility of self-incriminating materials provided by listed companies to the Stock Exchange and the SFC (2017)

Categories Financial Services Regulatory, Commercial and Litigation Posted on
From time to time licensed firms are required by the Securities and Futures Commission (the “SFC”) to provide information in the exercise of its supervisory powers over intermediaries.

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Categories Financial Services Regulatory, Commercial and Litigation

SFC’s “Manager-In-Charge” regime – a new reform to embrace ?

Categories Financial Services Regulatory, Commercial and Litigation Posted on

On 16 December 2016, the Securities and Futures Commission (“SFC”) published, in a circular (http://www.sfc.hk/edistributionWeb/gateway/EN/circular/openFile?refNo =16EC68 and annexes http://www.sfc.hk/edistributionWeb/gateway/EN/circular/openAppendix?r efNo=16EC68&appendix=0), new measures to heighten the accountability of senior management of all licensed corporations.

On 16 December 2016, the Securities and Futures Commission (“SFC”) published, in a circular (http://www.sfc.hk/edistributionWeb/gateway/EN/circular/openFile?refNo =16EC68 and annexes http://www.sfc.hk/edistributionWeb/gateway/EN/circular/openAppendix?r efNo=16EC68&appendix=0), new measures to heighten the accountability of senior management of all licensed corporations.

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