misconduct Archives - Hauzen LLP

Hauzen LLP
21/05/2025

A Kitchen Nightmare – China Shanshui Cement Group Ltd and Ors v. Zhang Caikui and Ors

A Kitchen Nightmare – China Shanshui Cement Group Ltd and Ors v. Zhang Caikui and Ors https://hauzen.hk/wp-content/uploads/2024/09/Poison-Attacks.jpg 1280 720 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 21/05/2025 21/05/2025

“When a chef makes a dish using a few possibly good ingredients, but mixes them with many clearly bad ingredients and then seriously overcooks the whole thing, even the taste…

Hauzen LLP
04/03/2022

SFC Bans Mr. Poon Chun Hing From Re-entering Industry for Life

SFC Bans Mr. Poon Chun Hing From Re-entering Industry for Life https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 04/03/2022 15/08/2024

Readers are reminded to be alert if approached with securities & futures investments or dealing with anyone claiming they are licensed / registered in Hong Kong

Hauzen LLP
23/11/2021

Court Finds Trio Insider Dealing in TeleEye Shares & Order Disgorgement of Profits

Court Finds Trio Insider Dealing in TeleEye Shares & Order Disgorgement of Profits https://hauzen.hk/wp-content/uploads/2022/01/hong-kong-city-5012735_1920_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 23/11/2021 15/08/2024

We remind the reader that there are serious consequences to insider dealing and for failing to respond to SFC’s enquiries and investigation.

Hauzen LLP
15/01/2021

Client Misconduct – Money Laundering

Client Misconduct – Money Laundering https://hauzen.hk/wp-content/uploads/2020/12/stairs-pikwizard-498d26a768504c041a26333fdbca5804_1402x790sm.jpg 1402 790 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 21/01/2021

Legal framework under which businesses and professions operate in respect of client money laundering is examined – there are a number of statutory provisions which must be adhered to.

Hauzen LLP
15/01/2021

Insider Dealing: Defences

Insider Dealing: Defences https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

Under sections 271 and 292 of the SFO, a person or corporation may avail himself of a defence if he falls within one of the categories set out in this article.

Hauzen LLP
15/01/2021

What Constitutes Insider Dealing?

What Constitutes Insider Dealing? https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 21/01/2021

Insider dealing is defined under the SFO to arise under the three circumstances and under each circumstance, inside information may originate from two kinds of sources: someone connected with a corporation or someone involved with a proposed take-over offer for a corporation.

Hauzen LLP
15/01/2021

Structure & Definitions of the Insider Dealing Provisions in SFO

Structure & Definitions of the Insider Dealing Provisions in SFO https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 20/01/2021

As with the provisions governing other forms of market misconduct, insider dealing is categorised into the civil regime and the criminal regime.

Hauzen LLP
15/01/2021

Insider Dealing

Insider Dealing https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

Illicit trades are considered in detail, documenting the history of the situation in Hong Kong and the current regime. Relevant legislation is considered, along with possible sanctions and penalties.

Hauzen LLP
15/01/2021

Market Manipulation

Market Manipulation https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

Scrutiny of issues relating to manipulation of the securities market is provided and offences which traditionally fall under this umbrella.

Hauzen LLP
15/01/2021

Market Misconduct Regulations in Hong Kong

Market Misconduct Regulations in Hong Kong https://hauzen.hk/wp-content/uploads/2020/02/hong-kong-rostyslav-savchyn-NyXEqJ_qxtQ-unsplash_1400x788sm.jpg 1400 788 Hauzen LLP Hauzen LLP https://secure.gravatar.com/avatar/d1b885eaf259d7dce5c199adb937383be5d0065b2cbf634a3209454c7173acce?s=96&d=mm&r=g 15/01/2021 15/01/2021

Insight into the Securities and Futures Ordinance (Cap 571) (SFO) and its ‘dual’ approach to breaches, which can see both civil cases and criminal charges being brought.

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