SFC Investigations

Members of Liberty Chambers address investigations by the Securities and Futures Commission (SFC) under Hong Kong’s Securities and Futures Ordinance, which targets market misconduct and enforces fairness.

Members of Liberty Chambers understand the ordinance’s powers, including information compulsion and potential prosecutions. They guide responses, develop strategies, handle litigation and appeals, and advise on compliance to safeguard reputations. Engaging members of Liberty Chambers offers in-depth knowledge of regulatory frameworks, enabling proactive management of inquiries. Clients benefit from minimised disruptions, informed decision-making, and strengthened compliance practices, which help maintain market integrity and protect long-term business interests.

Futures Market Fairness Enforcement

• Advice on securities and futures-related investigations.
• Strategies for market integrity leading to informed decision-making support.
• Strengthened compliance practices and long-term interest protection.

Securities Compliance Strategies in Hong Kong

• Development of compliance frameworks.
• Guidance on the information compulsion provisions.
• Appeal processes for SFC decisions.
• Proactive inquiry management to minimise business disruptions.

SFC Litigation and Appeals Services

• Representation in SFC prosecutions.
• Appeal handling for adverse rulings.
• In-depth regulatory knowledge with a reputational management focus.

SFC Misconduct Investigation Guidance

• Understanding SFC powers under the Ordinance.
• Strategic responses to misconduct probes.
• Litigation and handling SFC cases with advice to prevent issues.