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  • October 22, 2014
  • Last updated: 10:45am
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Results 1 - 10 of 16 for code of conduct

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  1. Business - Money - POINT OF LAW

    Mis-selling financial products

    Posted Jan 02nd 2013, 12:00am by Georgia Dawson and Peter So

    ... of the financial products she was buying.   Are banks subject to any other regulatory obligations when selling financial products? In Hong Kong, banks (and financial institutions) are subject to the Code of Conduct for persons licensed by, or registered with, the Securities and Futures Commission (SFC) when selling financial products to customers. The code requires that banks should, when making ...

  2. Business - Banking & Finance - POINT OF LAW

    SFC tries to enhance professional investors' protection

    Posted Aug 21st 2013, 04:39am by DAVID SMYTH AND WARREN GANESH

    ... and their investment companies or trusts. If adopted, the proposals would amend the code of conduct for intermediaries that come under the SFC’s supervision – licensed corporations and registered institutions ... also been reluctant to find that the code of conduct overrides the express contractual terms between a customer and a bank; hence the banks’ reliance on disclaimers. In short, sanctity ...

  3. Business - China Business - POINT OF LAW

    IT compliance best way to gain an edge over rivals

    Posted Dec 05th 2012, 12:00am by ALAN CHIU

    ... interruption in the US and damage to reputation: implement a proper IT policy; keep a software inventory; conduct periodic software audits; review software needs and prepare software forecasts; and respond to alleged IT piracy complaints promptly. Sourcing agents may also consider taking the following steps: implement a Supplier Code of Conduct which covers IT compliance and ask ...


    Where there's a will, there's many ways to get into dispute

    Posted Sep 26th 2012, 12:00am by GARETH THOMAS

    ... of time has not simplified these issues, particularly where cross-border issues are involved. A recent survey conducted across 12 jurisdictions in Asia shows just how widespread the differences ... civil code is based on its equivalent in Germany and France- heirs other than siblings are entitled to a legally reserved interest in the estate if they are inadequately provided for. The law ...

  5. Business - Companies - POINT OF LAW

    Prest divorce case clarifies limits of a corporate holding of assets in Hong Kong

    Posted Aug 14th 2013, 12:00am by STACEY DEVOY

    ... of expensive advisers and lawyers, and then shot himself in the foot. His conduct in the litigation was his undoing. The High Court found that Mr Prest was dishonest about his finances and had failed ...

  6. Business - Companies - POINT OF LAW

    Anyone can own a French vineyard- here's how to get started

    Posted Jul 31st 2013, 12:00am by MARK STEVENS, Nicholas Cook and Erwan Heurtel

    ... is permitted to conduct once an operating licence has been granted.   Operating licence from the local Ministry of the Interior (Prefecture): A vineyard is required to hold an operating licence prior ...

  7. Business - Companies - POINT OF LAW

    Shareholders use rights to see records

    Posted Jul 10th 2013, 12:00am by WARREN GANESH, JASON CARMICHAEL

    ... of corporate records by members) as "an often overlooked yet powerful right by which to expose wrongful conduct in relation to the company's affairs". Since that case there has been ...

  8. Business - Companies - POINT OF LAW

    Dealing and non-disclosure causes for prosecution

    Posted Jun 19th 2013, 12:00am by ALLAN LEUNG, Danny Leung

    ... and guidelines and increasing enforcement activities. The provisions apply to all types of businesses and you should be aware of how they could affect yours. The law criminalises money-laundering conduct ...

  9. Business - Companies - POINT OF LAW

    Where flexibility meets cost efficiency in settling disputes

    Posted Apr 24th 2013, 12:00am by JAMES BERGER

    ... Arbitration rules are inherently more flexible and permissive than the procedural codes that govern litigation. But even beyond procedural flexibility, arbitrators have far more latitude than courts ...

  10. Business - China Business - POINT OF LAW

    Arbitration players across the border in row of their own

    Posted May 15th 2013, 12:00am by WARREN GANESH, Gary Yin

    ... of recognition. Much may depend on whether the courts in Shanghai and Shenzhen recognise orders and awards arising out of arbitrations conducted by SHIAC or SCIA.   Which arbitration rules? Parties ...




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