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Legal Publications > Compliance & Other Regulatory Matters

Year & Month Item Title Files
2017-04 Proposed Statutory Amendments to Professional Investors PDF
2017-04 Common Reporting Standard and the Trust PDF
2016-12 Joint Venture Could be Anti-Competitve PDF
2016-09 Once is Enough! PDF
2016-08 Presentation at CPA Australia (澳洲會計師公會 ) in Hong Kong – Competition Law – What it is and How it Relates to Professional Bodies” PDF
2015-08 The Work of Legal Service Division of the Legislative Council Secretariat-Negative Vetting of Subsidiary Legislation and Legal Issues Relating to Challenging the Decisions of the Legislative Council PDF
2012-04 Report of the Market Misconduct Tribunal of Hong Kong on whether any market misconduct has taken place in relation to the listed securities of Chaoda Modern Agriculture (Holdings) Ltd (Our Principal Partner Mrs Christine Koo as a member of the Tribunal) PDF
2007-11 IFA and SFC Investigations PDF
2007-11 Common Regulatory Issues Faced by IFAs PDF