News & Insights

Amendments to the Code of Conduct effective

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 details, please refer to our client alert of June 2012.

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