To read the full version of this content please select one of the options below:

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

Downloads
120

Abstract

Purpose

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.

Design/methodology/approach

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.

Findings

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

Originality/value

Expert guidance from experienced commercial and corporate lawyers.

Keywords

Acknowledgements

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.”

Citation

Brock, D. and Beattie, A. (2017), "Hong Kong SFC enforcement trends", Journal of Investment Compliance, Vol. 18 No. 1, pp. 105-106. https://doi.org/10.1108/JOIC-02-2017-0007

Publisher

:

Emerald Publishing Limited

Copyright © 2017, Denis Brock and O’Melveny partner