Regulatory Alerts2017-12-28
Added · Updated
Guidance Note on Cooperation with the SFC in Investigations and Enforcement Proceedings
The Securities and Futures Commission issued this guidance note to outline the benefits of cooperation for registered institutions during investigations and enforcement proceedings. The document details how entities can demonstrate cooperation to potentially mitigate regulatory sanctions or penalties. It serves as a reference for firms to understand the SFC's expectations regarding engagement and information sharing in disciplinary matters.
CIR
Current
Issue Date:
28 Dec 2017
20171228-3-EN.pdf (94.5 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Superseded Document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
Annex
Current
28 Dec 2017
Annex - Guidance Note on Cooperation with the SFC
Annex
Current
28 Dec 2017
Annex - Guidance Note on Cooperation with the SFC
Cross referenced Document
Version History
Superseded Document
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