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Hong Kong – Amendments To The Code Of Conduct Effective 1 December 2012.

25 November, 2012

 

Legal News & Analysis – Asia Pacific – Hong Kong – Regulatory & Compliance

  

Miscellaneous amendments to Hong Kong’s Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission will come into effect on 1 December 2012. The changes include:


  • the obligation to report suspected market misconduct by clients
  • the prohibition of the use of mobile phones for taking client orders
  • the requirement for third party authorisations to be in writing
  • it will generally not be permissible to prevent staff from providing expert witness services

 





For further information, please contact:

 

Jane McBride, Partner, Deacons

jane.mcbride@deacons.com.hk

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