Guide To SFC Enforcement Action: From SFC Investigation Notice To Disciplinary Action, Prosecution & Appeal - Corporate/Commercial Law
To print this article, all you need is to be registered or login on Mondaq.com. 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 in...
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