* SFC Investigations and Enforcement Proceedings 2nd ed

NOT YET PUBLISHED

This title is the first of its kind to provide comprehensive guidance on how to prepare and respond to investigations and enforcement proceedings undertaken by the Securities and Futures Commission (SFC) in Hong Kong, including answers to the questions which commonly arise in the conduct of any such matter.

Since the first edition was published six years ago, Hong Kong’s securities regulatory framework has undergone significant development, with numerous decisions from the courts, the Securities and Futures Appeals Tribunal and the Market Misconduct Tribunal. This second edition offers updated guidance on preparing for and responding to SFC investigations and enforcement proceedings in light of these new developments. 

The law in relation to this area is complex, and the legislative framework is extremely convoluted. In order to understand the area, it is necessary to have considerable practical experience. In responding to SFC investigations and enforcement proceedings, one may encounter a diverse range of legal areas, including administrative law, criminal law, the law of agency, employment law, the law of tort, and civil procedure. 
 
The text is split into five key sections to assist readers navigate this intricate area of law:
 
•    Part 1 – Introduction (including the essential approach in responding to an investigation)
•    Part 2 – Common Issues
•    Part 3 – Investigations
•    Part 4 – Enforcement Proceedings
•    Part 5 – Key Offence Provisions