Case Note

Case Note
Navigating senior management accountability in large financial institutions

Authors from Linklaters examine two recent SFC enforcement cases that show how senior executives can face severe sanctions for supervisory failures, despite having no direct or actual knowledge or participation in the misconduct.

Case Note

Friday | 19 December 2025

Case Note
What directors should know about regulators’ disciplinary trends

Jenny WY Yu, Partner, and Raymond NH Chan, Partner, Johnson Stokes & Master, analyse four recent Exchange and SFC disciplinary cases, highlighting a tightening regulatory focus on directors’ accountability, due diligence and internal controls.

Case Note

Wednesday | 19 November 2025