SFC Investigations and Enforcement Proceedings
Author: Nathan Dentice
This title is the first of its kind to provide comprehensive guidance on how to prepare and respond to investigations and enforcement proceedings undertaken by the Securities and Futures Commission (SFC) in Hong Kong, including answers to the questions which commonly arise in the conduct of any such matter.
This text is split into five key sections to enhance usability and assist readers to interact with the content most efficiently and effectively.
Part 1 - Introduction
Part 2 - Common Issues
Part 3 - Investigations
Part 4 - Enforcement Proceedings
Part 5 - Key Offence Provisions