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Continued focus of the SFC on the conduct of intermediaries involved in IPOs

Slaughter and May

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Hong Kong October 24 2019

Earlier this year, the Securities and Futures Commission (the Commission) concluded disciplinary actions against a number of sponsor firms and principals after a multi-year investigation. These sponsor firms and principals have been subject to various penalties for deficiencies in their work. 

Slaughter and May - Wynne Mok, Kevin Warburton, Jonathan Kao, Ruby Chik and Jason Cheng
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  • Competition & Antitrust
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