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CCB International Capital Limited fined $24 million for sponsor due diligence failures

Hong Kong Law

July 2018

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Asian Legal Business Awards

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Charltons - Hong Kong Law - 420 - 27 July 2018

sponsor due diligence Hong Kong Stock Exchange

SFC paragraph 17 of the Code of Conduct

CCBIC SFC fine

sponsor due diligence breaches HKEx

paragraph 17 of the Code of Conduct for Persons Licensed by or Registered with the SFC

CCBIC CCB International Capital Limited sponsor

IPO sponsor due diligence requirements

Customer due diligence interviews HK sponsor regime

Hong Kong IPO sponsor SFC penalties

Sponsor DD listing applications
SFC Code of Conduct due diligence records
Hong Kong Securities and Futures Commission Enforcement