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Hong Kong Law

September 2016

Best Boutique Firm 2016

Asian Legal Business Awards

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Charltons - Hong Kong Law Newsletter - Issue 347 - 23 September 2016

Hong Kong SFC Disciplinary action

Large Open Position LOP Report

HSBC breach of prescribed position limits

Disciplinary action against HSBC

HSBC fined HK$2.5 million in disciplinary action

HSBC public reprimand by SFC

Securities and Futures (Contracts Limits and Reportable Positions) Rules

Compliance with the prescribed limits for HSCEI futures and options

Position Limits and Large Open Position Reporting Requirements

HSBC breach of SFO and Contract Limits and Reportable Positions Rules

SFC finds breach of prescribed position limit by HSBC
HSBC Statement of Disciplinary Action 2016
Section 196 SFO
Reportable position LOP Report
Guidance note on position limits and large open position reporting requirements
SFC reasons for disciplinary action