Written in a practical manner, the practical guide addresses common legal and ethical issues faced by financial practitioners and provides guidance on how to apply the codes of conduct imposed by the regulatory authorities in day-to-day operation. It features:

• Standards of behaviour;
• Illustrative cases;
• Checklists for preventing violation of relevant laws and codes of conduct; and
• An ethics programme for financial intermediaries.

This book is jointly published by SFC, SEHK,  HKFE, HK Clearing, professional bodies in the financial services industry, and the ICAC.  English and Chinese versions are available.  To get your own copy, please call ICAC Regional Office (Hong Kong West/Islands) on 2543 0000, or download it from this website.