Regulatory Alerts2018-08-22
Added · Updated
Guidance Note on Cooperation with the HKMA in Investigations and Enforcement Proceedings
The Hong Kong Monetary Authority issued this Guidance Note to outline how it assesses cooperation during investigations and enforcement proceedings. It encourages early and substantial cooperation from regulated entities, such as proactive rectification and compensation, which may lead to reduced sanctions. The document explicitly excludes criminal cases where the Department of Justice holds sole discretion over prosecutions.
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