Dealing with Market Misconduct Tribunal Proceedings
This eSeminar is a recorded session of the "Market Misconduct Tribunal" webinar held on 15 July 2021.
The Market Misconduct Tribunal (“MMT”) conducts civil proceedings to adjudicate cases of market misconduct and breaches of disclosure requirements (as defined under the Securities and Futures Ordinance). The MMT has the power to impose civil sanctions on the wrongdoers, including disgorgement of profits, disqualification orders and cold shoulder orders, which can lead to significant financial and reputational damage.
This eSeminar looked at how MMT proceedings are conducted with the speakers shared their experience in dealing with such proceedings.
By the end of this eSeminar, you will be able to know:
- the nature and process of MMT proceedings,
- the wide-range of civil sanctions which the MMT can impose,
- some of the landmark MMT cases, and
- tips on how to handle an MMT proceeding.
1. Composition of the MMT
2. Nature of MMT proceedings
3. Civil sanctions which can be imposed by the MMT
4. Landmark MMT cases
5. Tips on handling an MMT proceeding
Licensees, relevant individuals, in-house counsel & compliance, senior management such as Responsible officers and Executive officers, directors of listed companies and anyone who wants to understand more about MMT proceedings or explore how to handle such proceedings.