Enforcement
The Securities and Futures Ordinance empowers us to mete out disciplinary measures and prosecute offenders to combat misconduct and crimes in the securities and futures markets. Our surveillance, inspection and disciplinary work extend beyond listed companies and licensees to market participants, including investors. In fighting market misconduct, we have recourse to the Market Misconduct Tribunal and the law courts. Where appropriate, we also work with domestic and overseas regulatory bodies to conduct various investigations.
You will find in this section:
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Explains why we take enforcement actions and the principles that guide our enforcement actions. |
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Outlines the disciplinary measures available to the SFC, the investigation process and resolution, etc. |
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Updated on a weekly basis, the page lists open court hearings for criminal prosecutions, civil applications and applications before the Securities and Futures Appeals Tribunal. |
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A list of people subject to arrest warrants and another list of people who we believe have information relevant to a current inquiry |
