Non-financial misconduct and whistleblowing: Hong Kong approaches (podcast)

In this podcast episode we discuss how Hong Kong financial services regulation and supervision addresses non-financial misconduct.  We outline the roles of the SFC and HKMA, examine how the regulatory framework applies to individuals' non-financial misconduct, detail the regulation of senior manager and firm accountability for incidents involving firm employees, address reporting and notifications issues, and describe protections afforded to whistleblowers.

This episode features Andrew Chung and Denise Fung (partners, dispute resolution, Hong Kong), Sumit Indwar (partner, financial regulation, Hong Kong) and Duncan Campbell (managing associate, financial services contentious regulation, London).

Listen below, or click here to listen and subscribe with your favourite podcast app.

For more detail, see our full publication reviewing the approach to non-financial misconduct and whistleblowing in 12 key jurisdictions.