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Recent determination of the Securities and Futures Appeal Tribunal

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24 November 2017

This is a much awaited determination by the Securities and Futures Appeal Tribunal  (Tribunal) http://www.sfat.gov.hk/english/determination/AN-3-2015-Determination.pdf.  The hearings took place in May and September 2016, with determination issued on 21 November 2017. 

This briefing highlights aspects of interest to us, particularly the Tribunal's approach to pecuniary penalty.