Regulatory Alerts2017-12-28
Added · Updated
Guidance Note on Cooperation with the SFC
The Securities and Futures Commission (SFC) issued this guidance to clarify its approach to cooperation in disciplinary, civil, and Market Misconduct Tribunal proceedings. Timely and substantial cooperation may lead to early resolutions, reduced sanctions, and significant savings in time and costs for all parties involved. The document outlines specific forms of cooperation, assessment factors, and transparency measures while excluding criminal cases and mere regulatory compliance from qualifying as cooperation.
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