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Hong Kong SFC enforcement trends

Denis Brock (O’Melveny & Myers, Hong Kong)
Amanda Beattie (O’Melveny & Myers, Hong Kong)

Journal of Investment Compliance

ISSN: 1528-5812

Article publication date: 2 May 2017




To discuss likely trends in the enforcement activities of the Securities and Futures Commission (SFC) in Hong Kong and to explore key areas of focus and what impact they may have on Hong Kong companies.


Discusses the SFC’s most important current areas of focus, the need for cooperation with other regulators such as those in mainland China, and a recent increase in disclosure obligations for listed companies.


The SFC’s principal areas of focus are currently corporate fraud and malfeasance, market manipulation, and intermediary misconduct.


Expert guidance from experienced commercial and corporate lawyers.



Editor’s Note: Denis Brock, an O’Melveny partner qualified to practice law in Hong Kong (Solicitor-Advocate), England & Wales (Solicitor-Advocate), Ireland, Australia, New Zealand and New York, Amanda Beattie, qualified to practice law in Hong Kong and New South Wales, Australia, contributed to the content of this article. The opinions expressed in this article do not necessarily reflect the views of O’Melveny or its clients, and should not be relied upon as legal advice.”


Brock, D. and Beattie, A. (2017), "Hong Kong SFC enforcement trends", Journal of Investment Compliance, Vol. 18 No. 1, pp. 105-106.



Emerald Publishing Limited

Copyright © 2017, Denis Brock and O’Melveny partner

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