Regulatory Alerts2016-09-30
Added · Updated
Guideline on Exercising Disciplinary Power to Order a Pecuniary Penalty under Section 203C(1) of the Securities and Futures Ordinance
The Hong Kong Monetary Authority issued this guideline to clarify the exercise of disciplinary powers to impose pecuniary penalties under Section 203C(1) of the Securities and Futures Ordinance. It specifically addresses enforcement actions within the Over-the-Counter Derivatives Regime and applies to all Authorized Institutions. The document establishes the framework and criteria for determining financial penalties in response to regulatory breaches.
GLI
Current
Guideline Number: 17.2
Issue Date:
30 Sep 2016
20160930-2-EN.pdf (153.0 KB)
Topic:
Banking Conduct & Enforcement - Enforcement/Discipline
OTC Derivatives - Others
Group:
All Authorized Institutions
Specific
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
30 Sep 2016
Guideline on Exercising Disciplinary Power to Order a Pecuniary Penalty under Section 203C(1) of the Securities and Futures Ordinance
CIR
Current
30 Sep 2016
Guideline on Exercising Disciplinary Power to Order a Pecuniary Penalty under Section 203C(1) of the Securities and Futures Ordinance
Cross referenced Document
Version History
Superseded Document
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