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SFC Disciplinary Actions in May 2020

Hong Kong Law

June 2020

Award winning Hong Kong law firm

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Charltons – Hong Kong Law – 501 – 08 June 2020

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DM-125906
20200608

SFC Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission

SFC suitability Code of Conduct

SFC Code of Conduct

SFC obtains court order against Shandong Molong Petroleum Machinery Company Limited

SFC obtains disqualification orders against former directors of EganaGoldpfeil (Holdings) Ltd

Licensed intermediary Know your client

SFC reprimands and fines Mega International Commercial Bank Co., Ltd. $7 million for regulatory breaches over CIS sale

Section 214 SFO compensation order

Disqualification directors SFO

Product due diligence SFC Code of Conduct
Knowledge of derivatives SFC