Regulatory investigations in Hong Kong cover enquiries, interviews or raids by regulators or enforcement authorities in relation to corruption, corporate fraud, white-collar crime, breach of the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited and market misconduct in the securities market governed by the Securities and Futures Ordinance (Chapter 571 of the Laws of Hong Kong) (the “SFO”). In this article, we examine some of the core issues in relation to regulatory investigations which both corporations and individuals should be aware of so that they could be well prepared in the face of a regulatory investigation.
15 August 2024