The intention of this book is to provide guidance as to how to respond to an SFC investigation and enforcement proceedings, including answers to those questions which commonly arise in the conduct of any such matter.

The text is split into five key sections:

• Part 1 – Introduction (including the essential approach in responding to an investigation)
• Part 2 – Common Issues
• Part 3 – Investigations
• Part 4 – Enforcement Proceedings
• Part 5 – Key Offence Provisions

The law in relation to this area is complex, and the legislative framework is extremely convoluted. In order to understand the area, it is necessary to have considerable practical experience. In responding to SFC investigations and enforcement proceedings, one may encounter a diverse range of legal areas, including administrative law, criminal law, the law of agency, employment law, the law of tort, and civil procedure. In some cases, the Hong Kong legal position has diverged or may diverge from that of other common law jurisdictions. There are many unresolved legal issues.

It is perhaps for this reason that, until now, there has been no comprehensive text on the area, despite its importance to Hong Kong.