Hong Kong's top prosecutor calls for committee to regulate SFC
The Securities and Futures Commission (SFC) of Hong Kong should be subject to internal checks and monitoring by a community-based committee, the city's top prosecutor said yesterday. Director of public prosecutions Kevin Zervos, who earlier called for the investigatory body to be stripped of its powers to prosecute, said that at the very least the SFC should be appropriately regulated, to ensure proper use of its powers and to prevent any internal misappropriation.
August 29, 2013 at 11:55 PM
4 minute read
The Securities and Futures Commission (SFC) of Hong Kong should be subject to internal checks and monitoring by a community-based committee, the city's top prosecutor said yesterday.
Director of public prosecutions Kevin Zervos, who earlier called for the investigatory body to be stripped of its powers to prosecute, said that at the very least the SFC should be appropriately regulated, to ensure proper use of its powers and to prevent any internal misappropriation.
"It is natural when you have a body that has an investigatory function that they will be very committed to the case they are involved in," he told local media at the offices of the Department of Justice (DoJ).
"But I find some difficulty when you give major prosecution decision-making powers to a body that has extensive coercive powers.
"I think they should have the same sorts of mechanisms available to appropriately regulate their powers, and conduct and deal with any possible breaches. So that requires appropriate internal regulation… and an appropriate outside body, not that comes from the industry but that is community-based.
"I think having a community-based, outside committee [would provide] a very important check to make sure powers are being used fully and properly."
Zervos, who will step down from his role in September, was expanding on comments he made in the city's Prosecutions 2012 report, released earlier this month.
In the report, he wrote that it was a matter of some concern that a law enforcement agency had responsibility for prosecution, and that this had caused tension between the prosecutions division and the SFC. He also said that the SFC lacked appropriate internal regulation and policing, and it would be preferable if it was stripped of its prosecutorial responsibility – which would be better placed with an independent prosecution service.
"If there is criminal wrong-doing it should be dealt with by the courts," he added at the media briefing.
"Investigators investigate, prosecutors prosecute… We as a prosecutions service provide a very important check to law enforcement…We are able to look at things more objectively."
Asked if he thought this could reduce the number of investigations and criminal convictions of financial institutions in Hong Kong, Zervos said he didn't believe it would, and if anything, the numbers could increase.
He added that the market would also benefit from the SFC working in tandem with other specialist law enforcement agencies depending on the scope of criminal activity being investigated.
The SFC is an independent statutory body established in 1989 to regulate the securities and futures markets in Hong Kong in accordance with the Securities and Futures Ordinance (SFO).
It monitors a mix of brokers, investment advisers, fund managers and listed companies, as well as the Hong Kong stock exchange and its investors.
The current CEO is Ashley Alder, the former head of Asia for Herbert Smith Freehills, who left private practice to work for the SFC in October 2011.
Both Alder and the SFC were unavailable for comment.
Finally, Zervos stressed the importance of class actions as a way of allowing individual rights to be properly represented in the courts.
In January this year, a working group met to discuss the possibility of introducing class actions in Hong Kong, to create further options for multi-party disputes in the city.
"As a lawyer, I believe in them," Zervos said. "In appropriate types of cases they are necessary and effective. I think [they] should be encouraged."
This content has been archived. It is available through our partners, LexisNexis® and Bloomberg Law.
To view this content, please continue to their sites.
Not a Lexis Subscriber?
Subscribe Now
Not a Bloomberg Law Subscriber?
Subscribe Now
NOT FOR REPRINT
© 2024 ALM Global, LLC, All Rights Reserved. Request academic re-use from www.copyright.com. All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.
You Might Like
View AllCan Law Firms Avoid Landing on the 'Enemy' List During the Trump Administration?
5 minute readLetter From Asia: Will Big Law Ever Bother to Understand Asia Again?
Simpson Thacher, Nishimura, Mori Hamada Assist on KKR's $4B Winning Bid in Japan
Trending Stories
- 1Call for Nominations: Elite Trial Lawyers 2025
- 2Senate Judiciary Dems Release Report on Supreme Court Ethics
- 3Senate Confirms Last 2 of Biden's California Judicial Nominees
- 4Morrison & Foerster Doles Out Year-End and Special Bonuses, Raises Base Compensation for Associates
- 5Tom Girardi to Surrender to Federal Authorities on Jan. 7
Who Got The Work
Michael G. Bongiorno, Andrew Scott Dulberg and Elizabeth E. Driscoll from Wilmer Cutler Pickering Hale and Dorr have stepped in to represent Symbotic Inc., an A.I.-enabled technology platform that focuses on increasing supply chain efficiency, and other defendants in a pending shareholder derivative lawsuit. The case, filed Oct. 2 in Massachusetts District Court by the Brown Law Firm on behalf of Stephen Austen, accuses certain officers and directors of misleading investors in regard to Symbotic's potential for margin growth by failing to disclose that the company was not equipped to timely deploy its systems or manage expenses through project delays. The case, assigned to U.S. District Judge Nathaniel M. Gorton, is 1:24-cv-12522, Austen v. Cohen et al.
Who Got The Work
Edmund Polubinski and Marie Killmond of Davis Polk & Wardwell have entered appearances for data platform software development company MongoDB and other defendants in a pending shareholder derivative lawsuit. The action, filed Oct. 7 in New York Southern District Court by the Brown Law Firm, accuses the company's directors and/or officers of falsely expressing confidence in the company’s restructuring of its sales incentive plan and downplaying the severity of decreases in its upfront commitments. The case is 1:24-cv-07594, Roy v. Ittycheria et al.
Who Got The Work
Amy O. Bruchs and Kurt F. Ellison of Michael Best & Friedrich have entered appearances for Epic Systems Corp. in a pending employment discrimination lawsuit. The suit was filed Sept. 7 in Wisconsin Western District Court by Levine Eisberner LLC and Siri & Glimstad on behalf of a project manager who claims that he was wrongfully terminated after applying for a religious exemption to the defendant's COVID-19 vaccine mandate. The case, assigned to U.S. Magistrate Judge Anita Marie Boor, is 3:24-cv-00630, Secker, Nathan v. Epic Systems Corporation.
Who Got The Work
David X. Sullivan, Thomas J. Finn and Gregory A. Hall from McCarter & English have entered appearances for Sunrun Installation Services in a pending civil rights lawsuit. The complaint was filed Sept. 4 in Connecticut District Court by attorney Robert M. Berke on behalf of former employee George Edward Steins, who was arrested and charged with employing an unregistered home improvement salesperson. The complaint alleges that had Sunrun informed the Connecticut Department of Consumer Protection that the plaintiff's employment had ended in 2017 and that he no longer held Sunrun's home improvement contractor license, he would not have been hit with charges, which were dismissed in May 2024. The case, assigned to U.S. District Judge Jeffrey A. Meyer, is 3:24-cv-01423, Steins v. Sunrun, Inc. et al.
Who Got The Work
Greenberg Traurig shareholder Joshua L. Raskin has entered an appearance for boohoo.com UK Ltd. in a pending patent infringement lawsuit. The suit, filed Sept. 3 in Texas Eastern District Court by Rozier Hardt McDonough on behalf of Alto Dynamics, asserts five patents related to an online shopping platform. The case, assigned to U.S. District Judge Rodney Gilstrap, is 2:24-cv-00719, Alto Dynamics, LLC v. boohoo.com UK Limited.
Featured Firms
Law Offices of Gary Martin Hays & Associates, P.C.
(470) 294-1674
Law Offices of Mark E. Salomone
(857) 444-6468
Smith & Hassler
(713) 739-1250