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Search: subject:"Securities and Futures Commission (SFC)"
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Journal of Investment Compliance
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The journal of investment compliance
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ECONIS (ZBW)
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Hong Kong SFC enforcement trends
Brock, Denis
;
Beattie, Amanda
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 105-106
Persistent link: https://www.econbiz.de/10011662208
Saved in:
2
SFC reminding sponsors of the need to adopt an attitude of "professional scepticism"
Hughes, Gareth
;
Comber, James
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 82-84
Persistent link: https://www.econbiz.de/10011804884
Saved in:
3
Hong Kong SFC enforcement trends
Brock, Denis
;
Beattie, Amanda
- In:
Journal of Investment Compliance
18
(
2017
)
1
,
pp. 105-106
Purpose To discuss likely trends in the enforcement activities of the
Securities
and
Futures
Commission
(
SFC
) in Hong …
Persistent link: https://www.econbiz.de/10014893628
Saved in:
4
SFC reminding sponsors of the need to adopt an attitude of “professional scepticism”
Hughes, Gareth
;
Comber, James
- In:
Journal of Investment Compliance
18
(
2017
)
3
,
pp. 82-84
/methodology/approach Explains the
Securities
and
Futures
Commission
(“
SFC
”)'s sanction on BOCOM International (Asia) Limited (“BIAL”) as a sign of …
Persistent link: https://www.econbiz.de/10014893785
Saved in:
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