GLI

Current

Guideline Number: 17.2

Guideline on Exercising Disciplinary Power to Order a Pecuniary Penalty under Section 203C(1) of the Securities and Futures Ordinance in respect of the OTC Derivatives Regime

Issue Date:

30 Sep 2016

20160930-2-EN.pdf (153.0 KB)

Topic:

Banking Conduct & Enforcement - Enforcement/Discipline

OTC Derivatives - Others

Group: All Authorized Institutions Specific

• Directly related Document
• Cross referenced Document
• Version History
• Superseded Document

Directly related Document

• CIR

  Current

  30 Sep 2016

  Guideline on Exercising Disciplinary Power to Order a Pecuniary Penalty under Section 203C(1) of the Securities and Futures Ordinance

Directly related Document

• CIR

  Current

  30 Sep 2016

  Guideline on Exercising Disciplinary Power to Order a Pecuniary Penalty under Section 203C(1) of the Securities and Futures Ordinance

Cross referenced Document

Version History

Superseded Document

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