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.
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RegisterContinued focus of the SFC on the conduct of intermediaries involved in IPOs
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Hong Kong
October 24 2019
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Robert E. Armstrong
Partner
McDonald Carano Wilson LLP
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