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The SFC Enforcement Division is responsible for addressing
wrongdoing in the securities and futures markets in Hong Kong.
Apart from conducting market surveillance to detect possible
wrongdoing, it takes action, known in the market as SFC enforcement
action, to ascertain whether such wrongdoing merits prosecution.
SFC enforcement action may comprise SFC investigations, SFC
disciplinary proceedings, MMT proceedings, criminal proceedings as
well as civil proceedings intended to protect the investing public.
In this article, we provide a high level guide to SFC enforcement
action with the aim of assisting persons who may be subject to such ....

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