Sfc investigation
Web5 Mar 2024 · Introduction This section aims to clarify the application of the secrecy provisions under the Securities and Futures Ordinance (" SFO ") and to provide guidance from the SFC’s perspective on certain practical aspects of the secrecy obligation. Web18 Mar 2024 · A Bank of China subsidiary was fined HKD 10 million ($1.27 million) this Monday by the Hong Kong Securities and Futures Commission (SFC). According to the regulator, BOCI Securities Limited (BSL) failed to meet a number of regulatory standards surrounding its sale of investment products. The SFC investigation into BSL took place …
Sfc investigation
Did you know?
Web14 Oct 2024 · The SFC MoU aims to further strengthen the cooperation between the SFC and the IA, facilitate the performance of their respective regulatory functions and reduce any administrative duplication between them by specifying their respective responsibilities in various areas including sharing and exchange of information, joint investigations and … Web10 Nov 2024 · Investigations ("SFC investigations") by the Securities and Futures ("SFC") Enforcement Division are formal enquiries into possible wrongdoing.Key objectives when handling an SFC investigation are ...
Web17 Nov 2024 · The SFC investigation stage is arguably the most critical stage of any SFC enforcement action, including enforcement action for market misconduct as a result of … Web26 Sep 2024 · Since 2013, the SFC has returned or rejected 44 listing applications, and also sought to sanction alleged misconduct or incompetence. While having had limited …
Web14 Oct 2024 · The SFC may initiate an investigation on the basis of information from any source, including the public, other regulators or law enforcement agencies in Hong Kong, … Web27 Jul 2024 · The FCA investigation adds to the $140bn company’s legal problems. The UK’s Serious Fraud Office launched an investigation in 2024 into a payment made by Rio to a consultant working on a ...
Web13 hours ago · A man aged 46 from Preston has been arrested on suspicion of attempted murder and an investigation is underway. Enquiries are ongoing to identify the offenders. ... Det Sgt Samantha Bartley, of ...
WebThe SFC has further provided a non-exhaustive list of examples of investigations involving an outgoing employee that should be reported: investigations about suspected or actual … shop online canadaWeb26 Nov 2024 · Every SFC investigation is unique and there is no single response template. However, there are predictable patterns to the way such investigations unfold. Response … shop online business groceriesWeb12 May 2024 · The SFO is investigating the activities of Petrofac Ltd, its subsidiaries, and their officers, employees and agents for suspected bribery, corruption and money laundering. On Friday 24 September 2024, following requisition by the Serious Fraud Office (SFO), Petrofac Limited attended Westminster Magistrates’ Court where the company was … shop online calgary coopWeb11 Apr 2024 · Carmaker investigation raises ‘serious questions’ about supplier due diligence. The US has ramped up its investigation into automotive supply chains after initial investigations “failed” to offer insight into forced labour links, the Senate Finance Committee has announced. Senate Finance Committee (SFC) chair Ron Wyden has written to ... shop online business credit cardsWebInvestigations by nature Securities & Futures Commission of Hong Kong Corporates Intermediaries Products Markets Enforcement Disciplinary proceedings Secrecy … shop online canadian storesWebThe SFC is a regulatory and investigatory agency with extensive powers. Section 179 gives the SFC powers of investigation and to require the production of documents and records … shop online buttonWeb8 Dec 2024 · The Securities and Futures Commission ("SFC") has a range of powers available to it to investigate possible wrongdoing in the Hong Kong securities and futures … shop online canada cheap