Tag Archives: SFO

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

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.

SFC’s “Manager-In-Charge” regime – a new reform to embrace ?
(只有英文版本)

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.