FSR and Corporate Crime Notes
Tag: inspections
Showing 2 out of 2 results
14 November 2017
Hong Kong regulators warn of common instances of non-compliance in asset management
The Hong Kong Securities and Futures Commission (SFC) has recently conducted around 250 inspections of licensed corporations engaged in asset management …
18 October 2017
Dealing with a dawn raid in Hong Kong
Surprise inspections by governmental authorities are on the rise. Any company in any sector may be on the receiving end and obstructing a lawful raid is …