Regulatory Alerts2017-12-28
Added · Updated
Guidance Note on Benefits of Cooperation in Investigations and Enforcement Proceedings
The Securities and Futures Commission issued this guidance note to outline the benefits available to regulated entities that cooperate with the Commission during investigations and enforcement proceedings. The document details the specific factors considered by the SFC when determining whether to grant leniency or reduced penalties based on the extent and quality of cooperation provided. It serves as a framework for registered institutions to understand how proactive engagement can positively influence regulatory outcomes in disciplinary matters.
CIR
Current
Issue Date:
28 Dec 2017
20171228-4-EN.pdf (182.4 KB)
Topic:
Banking Conduct & Enforcement - Enforcement/Discipline
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
28 Dec 2017
Guidance Note Issued by the Securities and Futures Commission ("SFC") on Benefits of Cooperation in Investigations and Enforcement Proceedings (“Guidance Note”)
CIR
Current
28 Dec 2017
Guidance Note Issued by the Securities and Futures Commission ("SFC") on Benefits of Cooperation in Investigations and Enforcement Proceedings (“Guidance Note”)
Cross referenced Document
Version History
Superseded Document
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