{"id":9384,"date":"2025-05-21T18:00:24","date_gmt":"2025-05-21T10:00:24","guid":{"rendered":"https:\/\/hkytl.com\/?p=9384"},"modified":"2025-05-22T09:05:01","modified_gmt":"2025-05-22T01:05:01","slug":"sfc-notification-obligations-criminal-convictions-compliance-lessons-for-hong-kong-licensed-professionals","status":"publish","type":"post","link":"https:\/\/hkytl.com\/cn\/2025\/05\/21\/sfc-notification-obligations-criminal-convictions-compliance-lessons-for-hong-kong-licensed-professionals\/","title":{"rendered":"\u8bc1\u5238\u53ca\u671f\u8d27\u4e8b\u52a1\u76d1\u5bdf\u59d4\u5458\u4f1a\u901a\u77e5\u4e49\u52a1\uff1a\u5211\u4e8b\u7f6a\u884c\u4e0e\u76d1\u7ba1\u5f71\u54cd"},"content":{"rendered":"<div data-elementor-type=\"wp-post\" data-elementor-id=\"9384\" class=\"elementor elementor-9384\" data-elementor-settings=\"{&quot;ha_cmc_init_switcher&quot;:&quot;no&quot;}\" data-elementor-post-type=\"post\">\n\t\t\t\t\t\t<section class=\"elementor-section elementor-top-section elementor-element elementor-element-2d068eb4 elementor-section-boxed elementor-section-height-default elementor-section-height-default\" data-id=\"2d068eb4\" data-element_type=\"section\" data-e-type=\"section\" data-settings=\"{&quot;_ha_eqh_enable&quot;:false}\">\n\t\t\t\t\t\t<div class=\"elementor-container elementor-column-gap-default\">\n\t\t\t\t\t<div class=\"elementor-column elementor-col-100 elementor-top-column elementor-element elementor-element-6fdcbce5\" data-id=\"6fdcbce5\" data-element_type=\"column\" data-e-type=\"column\">\n\t\t\t<div class=\"elementor-widget-wrap elementor-element-populated\">\n\t\t\t\t\t\t<div class=\"elementor-element elementor-element-24014ea8 elementor-widget__width-initial ha-has-bg-overlay elementor-widget elementor-widget-text-editor\" data-id=\"24014ea8\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t\t\t\t\t\t<p><strong>\u524d\u8a00<\/strong><\/p><p class=\"translation-block\">\u9999\u6e2f\u8fd1\u671f\u4e00\u5b97\u8d1f\u8d23\u4eba\u5458\uff08RO\uff09\u56e0\u76d7\u7a83\u7f6a\u88ab\u5211\u4e8b\u5b9a\u7f6a\u7684\u6848\u4ef6\uff0c\u4ee5\u53ca\u8bc1\u5238\u53ca\u671f\u8d27\u4e8b\u52a1\u76d1\u5bdf\u59d4\u5458\u4f1a\uff08SFC\uff09\u968f\u540e\u91c7\u53d6\u7684\u7eaa\u5f8b\u5904\u5206\uff0c\u4e3a\u4e1a\u754c\u6572\u54cd\u8b66\u949f\u2014\u5ef6\u8fdf\u5c65\u884c\u76d1\u7ba1\u901a\u77e5\u4e49\u52a1\u53ef\u80fd\u5f15\u53d1\u4e25\u91cd\u540e\u679c\u3002\u672c\u6587\u7ed3\u5408\u300a\u8bc1\u5238\u53ca\u671f\u8d27\u6761\u4f8b\uff08\u7b2c571\u7ae0\uff09\u300b\uff0c\u5256\u6790\u6cd5\u5f8b\u6846\u67b6\u3001\u6267\u6cd5\u8d8b\u52bf\u53ca\u5b9e\u52a1\u4e2d\u53ef\u64cd\u4f5c\u7684\u5408\u89c4\u7b56\u7565\u4ee5\u964d\u4f4e\u98ce\u9669\u3002<\/p><h2>\u6848\u4f8b\u56de\u987e\uff1a\u5ef6\u8fdf\u901a\u77e5\u8bc1\u76d1\u4f1a\u5bfc\u81f4\u4e24\u5e74\u884c\u4e1a\u7981\u5165<\/h2><h3>\u5173\u952e\u4e8b\u5b9e<\/h3><ul type=\"disc\"><li class=\"ds-markdown-paragraph translation-block\">\u9999\u6e2f\u6cd5\u9662\u88c1\u5b9a\u6301\u724c\u516c\u53f8\u7684\u8d1f\u8d23\u4eba\u5458\uff08RO\uff09\u72af\u6709\u76d7\u7a83\u7f6a\u3002<\/li><li class=\"ds-markdown-paragraph translation-block\">\u8be5RO\u53ca\u5176\u6240\u5728\u6301\u724c\u516c\u53f8\u672a\u53ca\u65f6\u5411\u8bc1\u76d1\u4f1a\u901a\u62a5\u5211\u4e8b\u6307\u63a7\uff0c\u76f4\u81f3\u5b9a\u7f6a\u540e\u624d\u63d0\u4ea4\u901a\u77e5\uff0c\u8fdf\u5ef6\u4e09\u4e2a\u6708\u3002<\/li><li class=\"ds-markdown-paragraph\">The SFC imposed a <b>two-year industry ban<\/b>, citing violations of:<ul type=\"circle\"><li class=\"ds-markdown-paragraph\"><b>\u300a\u8bc1\u5238\u53ca\u671f\u8d27\uff08\u53d1\u724c\u53ca\u6ce8\u518c\uff09\uff08\u8d44\u6599\uff09\u89c4\u5219\u300b\uff08\u7b2c571S\u7ae0\uff09\u7b2c4\u6761<\/b><\/li><li class=\"ds-markdown-paragraph\"><b>\u300a\u8bc1\u5238\u53ca\u671f\u8d27\u6761\u4f8b\u300b\uff08\u7b2c571\u7ae0\uff09\u7b2c135(3)\u6761<\/b><\/li><\/ul><\/li><\/ul><h3>\u76d1\u7ba1\u8981\u6c42<\/h3><p class=\"ds-markdown-paragraph translation-block\">\u6301\u724c\u53d1\u56e2\u53ca\u4e2a\u4eba\u9700\u5728\u4ee5\u4e0b\u60c5\u51b5\u53d1\u751f\u540e\u76847\u4e2a\u8425\u4e1a\u65e5\u5185\u5411\u8bc1\u76d1\u4f1a\u4e66\u9762\u901a\u77e5\uff1a<\/p><ul type=\"disc\"><li class=\"ds-markdown-paragraph\">\u88ab\u5211\u4e8b\u6307\u63a7\uff08\u8f7b\u5fae\u7f6a\u884c\u9664\u5916\uff09\u3002<\/li><li class=\"ds-markdown-paragraph translation-block\">\u88ab\u9999\u6e2f\u8b66\u5bdf\u3001\u5ec9\u653f\u516c\u7f72\u7b49\u5211\u4e8b\u8c03\u67e5\u3002<\/li><li class=\"ds-markdown-paragraph\">\u6d89\u53ca\u201c\u76f8\u5173\u8d44\u6599\u201d\u53d8\u52a8\uff0c\u4f8b\u5982\uff1a\u6cd5\u9662\u9488\u5bf9\u6b3a\u8bc8\u3001\u4e0d\u8bda\u5b9e\u6216\u5931\u5f53\u884c\u4e3a\u4f5c\u51fa\u7684\u547d\u4ee4\uff1b\u53c2\u4e0e\u53f8\u6cd5\u6216\u5176\u4ed6\u6cd5\u5f8b\u7a0b\u5e8f\uff1b\u7834\u4ea7\uff1b\u88ab\u53d6\u6d88\u8463\u4e8b\u8d44\u683c\u3002<\/li><\/ul><h2>\u6cd5\u5f8b\u89e3\u8bfb\uff1a\u4e3a\u4f55\u53ca\u65f6\u5c65\u884c\u8bc1\u76d1\u4f1a\u901a\u77e5\u4e49\u52a1\u81f3\u5173\u91cd\u8981<\/h2><h3>\u6267\u6cd5\u8d8b\u52bf<\/h3><p class=\"ds-markdown-paragraph 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class=\"ds-markdown-paragraph\"><b>\u8d22\u52a1\u635f\u5931<\/b>\u7f5a\u6b3e\u3001\u724c\u7167\u6682\u505c\u6216\u64a4\u9500\u3002<\/li><\/ul><h2>\u5408\u89c4\u7b56\u7565\uff1a\u964d\u4f4e\u8bc1\u76d1\u4f1a\u6267\u6cd5\u98ce\u9669<\/h2><h3>\u6301\u724c\u6cd5\u56e2\u5e94\u91c7\u53d6\u7684\u63aa\u65bd<\/h3><ol start=\"1\" type=\"1\"><li class=\"ds-markdown-paragraph\"><b>\u5efa\u7acb\u5185\u90e8\u4e0a\u62a5\u673a\u5236<\/b>\uff1a\u5373\u65f6\u6807\u8bb0\u9700\u7533\u62a5\u4e8b\u4ef6\uff08\u5982\u5211\u4e8b\u6307\u63a7\u3001\u8c03\u67e5\uff09\u3002<\/li><li class=\"ds-markdown-paragraph translation-block\">\u5b9a\u671f\u57f9\u8bad\uff1a\u786e\u4fddRO\u53ca\u5458\u5de5\u719f\u77e5SFC\u901a\u77e5\u4e49\u52a1\u53ca\u65f6\u9650\u3002<\/li><li class=\"ds-markdown-paragraph\"><b>\u5b8c\u5584\u8bb0\u5f55\u4fdd\u5b58<\/b>\u7559\u5b58\u5408\u89c4\u8bc1\u636e\u4ee5\u5907\u5ba1\u67e5\u3002<\/li><\/ol><h2>\u6881\u5ef6\u8fbe\u5f8b\u5e08\u4e8b\u52a1\u6240\u5982\u4f55\u534f\u52a9\u60a8<\/h2><p class=\"ds-markdown-paragraph translation-block\">\u6881\u5ef6\u8fbe\u5f8b\u5e08\u4e8b\u52a1\u6240\u7684\u76d1\u7ba1\u6267\u6cd5\u56e2\u961f\u6df1\u8c19\u8bc1\u76d1\u4f1a\u89c4\u5219\uff0c\u7ed3\u5408\u8de8\u5883\u4e89\u8bae\u89e3\u51b3\u7ecf\u9a8c\uff0c\u4e3a\u5ba2\u6237\u63d0\u4f9b\u4ee5\u4e0b\u670d\u52a1\uff1a<\/p><ul type=\"disc\"><li class=\"ds-markdown-paragraph\"><b>\u5408\u89c4\u5ba1\u67e5<\/b>\uff1a\u8bc4\u4f30\u5185\u90e8\u653f\u7b56\u662f\u5426\u7b26\u5408\u8bc1\u76d1\u4f1a\u8981\u6c42\u3002<\/li><li class=\"ds-markdown-paragraph\"><b>\u6267\u6cd5\u6297\u8fa9<\/b>\u4ee3\u7406\u6301\u724c\u6cd5\u56e2\u53ca\u4e2a\u4eba\u5e94\u5bf9\u8bc1\u76d1\u4f1a\u8c03\u67e5\u3002<\/li><li class=\"ds-markdown-paragraph\"><b>\u5371\u673a\u7ba1\u7406<\/b>\u51cf\u8f7b\u76d1\u7ba1\u884c\u52a8\u5bf9\u58f0\u8a89\u53ca\u4e1a\u52a1\u7684\u5f71\u54cd\u3002<\/li><\/ul><p>\u6b22\u8fce\u7acb\u5373\u8054\u7cfb\u6211\u4eec\uff0c\u4e86\u89e3\u6211\u4eec\u5982\u4f55\u534f\u52a9\u60a8\u786e\u4fdd\u5408\u89c4\uff0c\u5b88\u62a4\u724c\u7167\u7684\u5b89\u5168\u3002\u00a0<\/p><p><a href=\"https:\/\/hkytl.com\/cn\/tiffany-lee\/\"><img decoding=\"async\" data-attachment-id=\"7324\" data-permalink=\"https:\/\/hkytl.com\/cn\/tiffany-lee\/tiffany-lee-profile-pic-modified\/\" data-orig-file=\"https:\/\/i0.wp.com\/hkytl.com\/wp-content\/uploads\/2024\/05\/Tiffany-Lee-profile-pic-modified-e1715049609755.png?fit=700%2C700&amp;ssl=1\" data-orig-size=\"700,700\" data-comments-opened=\"1\" data-image-meta=\"{&quot;aperture&quot;:&quot;0&quot;,&quot;credit&quot;:&quot;&quot;,&quot;camera&quot;:&quot;&quot;,&quot;caption&quot;:&quot;&quot;,&quot;created_timestamp&quot;:&quot;0&quot;,&quot;copyright&quot;:&quot;&quot;,&quot;focal_length&quot;:&quot;0&quot;,&quot;iso&quot;:&quot;0&quot;,&quot;shutter_speed&quot;:&quot;0&quot;,&quot;title&quot;:&quot;&quot;,&quot;orientation&quot;:&quot;0&quot;}\" data-image-title=\"Tiffany Lee YTL LLP litigation regulatory lawyer\" data-image-description=\"&lt;p&gt;Tiffany Lee YTL LLP litigation regulatory lawyer SFC ICAC HKMA&lt;\/p&gt;\" data-image-caption=\"\" data-large-file=\"https:\/\/i0.wp.com\/hkytl.com\/wp-content\/uploads\/2024\/05\/Tiffany-Lee-profile-pic-modified-e1715049609755.png?fit=1024%2C1024&amp;ssl=1\" data-recalc-dims=\"1\" class=\"alignleft wp-image-7324\" src=\"https:\/\/i0.wp.com\/hkytl.com\/wp-content\/uploads\/2024\/05\/Tiffany-Lee-profile-pic-modified-e1715049609755.png?resize=105%2C105&#038;ssl=1\" alt=\"Tiffany lee\" width=\"105\" height=\"105\" \/><\/a><\/p><p>\u00a0<\/p><p>\u00a0<\/p><p>\u00a0<\/p><p style=\"font-variant-ligatures: normal; font-variant-caps: normal; font-family: Arial, sans-serif; font-size: 14px; font-style: normal; font-weight: 500;\"><span style=\"font-family: Arial, sans-serif; font-size: 14px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 500;\"><a href=\"https:\/\/hkytl.com\/cn\/tiffany-lee\/\">\u674e\u5929\u97f5<\/a>\uff0c\u987e\u95ee\u5f8b\u5e08 <\/span><span style=\"font-family: Arial, sans-serif; font-size: 14px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 500;\">.<\/span><\/p><p style=\"font-variant-ligatures: normal; font-variant-caps: normal; font-family: Arial, sans-serif; font-size: 14px; font-style: normal; font-weight: 500;\"><span style=\"font-family: Arial, sans-serif; font-size: 14px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 500;\"><a href=\"mailto:tiffanylee@hkytl.com\">tiffanylee@hkytl.com<\/a>;<\/span><span style=\"font-family: Arial, sans-serif; font-size: 14px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 500;\"> +852 3468 7038<\/span><\/p><p><a href=\"https:\/\/hkytl.com\/cn\/alfred-leung\/\"><img decoding=\"async\" data-recalc-dims=\"1\" class=\"\" src=\"https:\/\/i0.wp.com\/hkytl.com\/wp-content\/uploads\/2021\/05\/alfred-circle.png?resize=102%2C102&#038;ssl=1\" alt=\"best lawyer hong kong solicitor alfred leung\" width=\"102\" height=\"102\" \/><\/a><\/p><p><span style=\"font-family: Arial, sans-serif; font-size: 14px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 500;\"><a href=\"https:\/\/hkytl.com\/cn\/alfred-leung\/\">\u6881\u5ef6\u8fbe<\/a>\uff0c\u5408\u4f19\u4eba <\/span><\/p><p><span style=\"font-family: Arial, sans-serif; font-size: 14px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 500;\"><a href=\"mailto:alfredleung@hkytl.com\">alfredleung@hkytl.com<\/a>;<\/span><span style=\"font-family: Arial, sans-serif; font-size: 14px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 500;\"> +852 3468 7202<\/span><\/p><p style=\"font-variant-ligatures: normal; font-variant-caps: normal; font-family: Arial, sans-serif; font-size: 14px; font-style: normal; font-weight: 500;\"><em style=\"font-size: 14px; font-weight: 600;\">\u672c\u6587\u4e3a\u4ecb\u7ecd\u6027\u6587\u7ae0\u3002\u5176\u5185\u5bb9\u4ee5\u51fa\u7248\u65e5\u671f\u4e3a\u51c6\u3002 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