Disciplinary Action by SFC/HKMA

GCC Corporate Governance Day

Access practical content at a time and place that suits you — whether it’s at home, at the office or as you commute. Our 45–60-minute webinars are the ideal way to meet your professional development needs at your convenience.

Learning Objectives

1) Understand how HKMA supports SFC in disciplinary proceedings
2) Explore various circumstances the SFC consider to take disciplinary actions and level of sanctions
3) Realize possible measures the SFC is empowered to impose

Course Outline

1) Factors subject to cooperation of disciplinary action
2) Forms and degree of cooperation
3) Examples of SFC and HKMA cooperation in investigations and disciplinary actions