雅虎香港 搜尋

登入

搜尋結果

      • The Enforcement Division is responsible for conducting market surveillance to identify market misconduct for further investigation, undertaking inquiry into alleged breaches of relevant ordinances and codes, including insider dealing and market manipulation, and instituting disciplinary procedures for misconduct by licensed intermediaries.
      www.hkex.com.hk/Services/Rules-and-Forms-and-Fees/Regulatory-Framework/Introduction?sc_lang=en

      Introduction to Regulatory Framework - HKEX

  2. 其他人也問了

  3. www.sfc.hk › en › Regulatory-functionsEnforcement | Securities & Futures Commission of Hong Kong

    2020年3月6日 · The Securities and Futures Ordinance empowers us to mete out disciplinary measures and prosecute offenders to combat crime and misconduct in the securities and futures markets. Through taking firm and decisive disciplinary action against offenders, we strive to promote fairness and protect the investing public.

  4. www.gallhk.com › the-investigative-powers-of-the-sfcSFC Enforcement Action and Investigative Powers | Gall Solicitors

    2021年2月22日 · SFC Investigative Powers The SFC has extensive power of investigation. 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 ...

  5. www.mondaq.com › hongkong › securitiesHong Kong - Securities - Guide To SFC Enforcement Action: ...

    2020年12月15日 · SFC Investigation Powers. The investigation powers of the SFC Enforcement Division are in many ways draconian. In broad terms, an SFC investigator has the power under section 183 of the SFO to require a person to:

  6. conventuslaw.com › report › hong-kong-sfc-enforcement-actionHong Kong – SFC Enforcement Action And Investigative ...

    2021年2月23日 · The SFC has extensive power of investigation. 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

  7. www.mondaq.com › hongkong › privilegeHong Kong - Privilege - SFC Enforcement Action And ...

    • The SFC and Its Scope of Power
    • Commencement of SFC Enforcement Action
    • SFC Investigative Powers
    • Right to Silence and Other Things to Be Aware of Whilst Underinvestigation
    • Conclusion

    The Securities and Futures Commission (SFC) is an independentnon-governmental statutory body whose authority is to regulate HongKong's financial markets. The Securities and Futures Ordinance(SFO)_came into operation in April 2003 and it contains civil andcriminal provisions for dealing with financialmisconduct.

    在「mondaq.com」查看更多資訊

    Pursuant to section 182 of the SFO, the SFC may conductinvestigations into any matter relating to: 1. any offences under the SFO; 2. defalcation, fraud or misconduct inconnection with dealing in or managing an investment in securities,futures contract or leveraged foreign exchange contract; 3. market misconduct; 4. breach of a disclosure requiremen...

    在「mondaq.com」查看更多資訊

    The SFC has extensive power of investigation. Under section 183of the SFO, the SFC has the power to require by notice a personunder investigation or a person whom the investigator hasreasonable cause to believe has in his possession any record ordocument relevant to an investigation, to attend an interview withan SFC officer to answer questions. Th...

    在「mondaq.com」查看更多資訊

    When invited by the SFC to attend an interview, it is importantthat the interviewee is aware of the privilege againstself-incrimination under section 187 of the SFO. The SFOstates that privilege against self-incrimination is not an excuseto not answering a question where the SFC officer requestsinformation and, therefore, there is no right, on the ...

    在「mondaq.com」查看更多資訊

    Understanding the role of the SFC and its wide powers ofinvestigation under the SFO in both civil and criminal contexts iscrucial for listed companies, licensed / registered institutions,and licensed persons. Find out more about the roles, responsibilities and potentialliabilities of an SFC-approved Responsible Officer (RO) in thisarticle here. The...

    在「mondaq.com」查看更多資訊

  8. www.sfc.hk › others › sfo_trainingSecurities and Futures Ordinance: investigations - SFC

    Investigations. – crimes under SFC administered laws or regulated financial products, insider dealing, acts contrary to public interest (s 33 SFCO/s 44 LFETO) Market surveillance. – Client and transaction details (s 31 SFCO/s 41 LFETO) Listed company inquiries. – fraud or misconduct in listed company (s 29A SFCO)

  9. www.sfc.hk › sfc › docEnforcement Philosophy of the Securities and Futures Commission

    SFC's enforcement philosophy: why the SFC takes enforcement action, what enforcement powers it has, how it exercises those powers, and the principles that guide its enforcement action. We hope this paper will help to dispel some of the misconceptions that