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Publications

2018-11
The CFA clarifies the ambit of the innocent purpose defence against allegation of insider dealing
2018-11
Section 300 of the SFO a way to prosecute insider dealings in shares listed overseas?
2018-10
The Court of Appeal clarifies the nature and standard of proof of Market Misconduct Tribunal proceedings
2018-09
Consultation Paper on the Proposed Guidelines for Securities Margin Financing Activities
2018-08
SFC reprimands and fines HSBC Broking Securities (Asia) Limited $9.6 million for regulatory breaches over bond sale
2018-08
Supervising clients’ investments – Can “high-level supervisory role” of trustees be limited?
2018-07
SFC fines CCB International Capital for failing to perform due diligence as sponsor
2018-06
Failing to comply with due diligence and know-your-client requirements
2018-04
Highlights of the Guidelines on Online Distribution and Advisory Platforms and further consultation
2018-03
SFC’s response to initial coin offerings in Hong Kong
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