misconduct

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

SFC Bans Mr. Poon Chun Hing From Re-entering Industry for Life 1400 788 Charing Yu
Readers are reminded to be alert if approached with securities & futures investments or dealing with anyone claiming they are licensed / registered in Hong Kong

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

Court Finds Trio Insider Dealing in TeleEye Shares & Order Disgorgement of Profits 1400 788 Charing Yu
We remind the reader that there are serious consequences to insider dealing and for failing to respond to SFC’s enquiries and investigation. 

Client Misconduct – Money Laundering

Client Misconduct – Money Laundering 1402 790 Hauzen
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.

Insider Dealing: Defences

Insider Dealing: Defences 1400 788 Hauzen
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.

What Constitutes Insider Dealing?

What Constitutes Insider Dealing? 1400 788 Hauzen
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.

Structure & Definitions of the Insider Dealing Provisions in SFO

Structure & Definitions of the Insider Dealing Provisions in SFO 1400 788 Hauzen
As with the provisions governing other forms of market misconduct, insider dealing is categorised into the civil regime and the criminal regime.

Insider Dealing

Insider Dealing 1400 788 Hauzen
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.

Market Manipulation

Market Manipulation 1400 788 Hauzen
Scrutiny of issues relating to manipulation of the securities market is provided and offences which traditionally fall under this umbrella.

Market Misconduct Regulations in Hong Kong

Market Misconduct Regulations in Hong Kong 1400 788 Hauzen
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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