Investor Protection in the Capital Markets: The Case of Hong Kong

An essential publication for legal practitioners, financial institutions, corporate secretaries, securities investors and business students, this book focuses on and applies the investor protection sbenchmarks as set out in the 2014 (new) Companies Ordinance and Securities and Futures Ordinance, ranging across the following main topics:

• Hong Kong’s regulatory framework for the capital markets in general
• Regulation of issuers through the disclosure regime
• Regulation of intermediaries
• Investor compensation schemes
• Market misconducts regulated by the Securities and Futures Ordinance as provided for in the Securities and Futures Ordinance
• Approved Trading Services (ATS) 
• Lehman Brothers’ minibonds saga and investor protection issue in the context of structured financial products regulation
• Heated debates on HKEx’s rejection of Alibaba’s request to be listed in Hong Kong