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Sidley says it published an analysis of Hong Kong enforcement priorities
Sidley said it published an analysis of the Hong Kong Securities and Futures Commission’s approach to enforcement outcomes. The firm’s article discussed a September 24 speech by Michael Duignan and examined the range of regulatory responses available beyond conventional proceedings and monetary penalties.
Key points
- Sidley’s article discussed remediation and investor redress.Sidley
- The firm addressed licensing measures and business wind-down arrangements.Sidley
- Sidley considered engagement between regulated firms and supervisory teams.Sidley
- The firm discussed settlements and management accountability within the regulator’s toolkit.Sidley