Risk and Compliance

Authors: Kevin Lee, Joshua Baker

Butterworths Hong Kong Banking Law Handbook - Sixth Edition includes new material, cases, and commentary on various sections of Cap.155. Some of the key updates include:

• The SFC's updated Fit and Proper Guidelines for persons applying for licences and registrations under the Securities and Futures Ordinance (Cap.571)
• Delayed prosecution and abuse of process

The Code of Banking Practice

Author: Nathan Dentice

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.

Sample Chapter | Table of Contents