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Hong Kong Law

August 2015

Best Boutique Firm 2014

Asian Legal Business Awards

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Charltons - Hong Kong Law Newsletter - Issue 296 - 05 August 2015

Nomura Hong Kong

Code of Conduct for Persons Licensed by and Registered with SFC

Delay in reporting misconduct

SFC fines Nomura Hong Kong

Code of Conduct disciplinary action

Reporting misconduct to SFC

Section 194 of the Securities and Futures Ordinance SFO

Risk management system

Material breach, infringement of or non-compliance

Section 129(1)(c) of the SFO

Fit and proper person
Obligation to report
Statement of disciplinary action
Nomura Hong Kong Office