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- When the SFC decides to conduct an investigation, it is empowered by section 183 of the Ordinance to, by way of a written notice, require a person under investigation, or any person believed to have any relevant record or document or information to attend an interview at a time and place specified by the SFC to answer questions relating to the matter.
www.tannerdewitt.com/section-183-notice/
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2021年2月22日 · Under section 183 of the SFO, the SFC has the power to require by notice a person under investigation or a person whom the investigator has reasonable cause to believe has in his possession any record or document relevant to an investigation, to attend an interview with an SFC officer to answer questions.
Under section 183 of the SFO, the SFC has the power to require by notice a person under investigation or a person whom the investigator has reasonable cause to believe has in his possession any record or document relevant to an investigation, to attend an interview with an SFC officer
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- Commencement of SFC Enforcement Action
- SFC Sanctions: Possible Penalties
- Criminal Prosecution Powers of The SFC Enforcement Division
- Appeals from SFC Convictions
- Mmt Proceedings
- SFC Disciplinary Proceedings
- Civil Remedies
SFC enforcement action begins with the SFC appointing investigators (all of whom typically work in the SFC Enforcement Division) under the SFO, s. 182 to investigate. The SFC may investigate where it has reasonable cause to believe that: 1. a securities related offence may have been committed; 2. a person may have engaged in defalcation, fraud, mis...
If, following an investigation into possible wrongdoing, the SFC Enforcement Division determines that there has been wrongdoing, it can pursue civil remedies and, in some cases, criminal penalties. Civil remedies include: 1. Market Misconduct Tribunal Proceedings- If the misconduct may amount to market misconduct, including insider dealing, false t...
Although the general power of criminal prosecution lies with the Secretary for Justice, the SFC enforcement action can take the form of a criminal prosecution for securities related offences (as well as conspiracies to commit those offences) before a magistrate summarily, meaning that the SFC Enforcement Division is limited in the penalty, whether ...
After a magistrate issues a decision, whether to convict or to acquit a defendant prosecuted by the SFC Enforcement Division, either the SFC Enforcement Division or the defendant may appeal the decision by way of case stated. However, the defendant may also appeal by way of a notice of appeal if he pleaded not guilty at the trial or did not admit t...
The Market Misconduct Tribunal is a statutory tribunal responsible for hearing cases relating to market misconduct. It comprises a judge and 2 experts drawn from industry or academia.
The SFO, s. 194 provides that the SFC may take disciplinary proceedings where an SFC licensed person, including an SFC licensed corporation, a responsible officer or a licensed representative is guilty of misconduct or it is of the opinion that an SFC licensed person is not a fit and proper person to remain licensed. The SFC will often make the cas...
In addition to imposing penalties, the SFC Enforcement Division may apply to the civil courts for a variety of orders to protect the investing public or compensate them for loss, including remedial orders and even interim orders (e.g.injunctions) before it begins prosecution. For example: 1. the SFC Enforcement Division can seek restoration orders ...
2021年2月23日 · Under section 183 of the SFO, the SFC has the power to require by notice a person under investigation or a person whom the investigator has reasonable cause to believe has in his possession any record or document relevant to an investigation, to attend an
When the SFC decides to conduct an investigation, it is empowered by section 183 of the Ordinance to, by way of a written notice, require a person under investigation, or any person believed to have any relevant record or document or information to attend an
2021年2月23日 · Under section 183 of the SFO, the SFC has the power to require by notice a person under investigation or a person whom the investigator has reasonable cause to believe has in his possession any record or document relevant to an investigation, to attend an interview with an SFC officer to answer questions.
Listed company inquiries: explanations. Suggestions that existing power to require an explanation of a document limited to an explanation of the document’s content. If correct, would severely limit power. Intended that power extends to circumstances surrounding document’s creation or the making of an entry in it.
