SFC aims to encourage “early cooperation” with enforcement actions through new guidelines

12 October 2017 | 3 minutes read
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The Securities and Futures Commission (SFC) will “soon” provide the market with a guidance note aimed at encouraging “early cooperation” with the regulator’s enforcement actions, according to Thomas Atkinson, executive director within the SFC’s enforcement division. The guidance note will cover disciplinary, civil and market misconduct tribunal proceedings, but will not apply to criminal cases, Atkinson explained in a speech…

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