22 Oct 2021
證券及期貨事務監察委員會 訴 羅世鴻
- Citation
- [2021] HKCFI 2937
- Court
- Court of First Instance
- Case number
- HCMA249/2020
The contract (P7) objectively displayed that the company carried on the regulated activity of advising on corporate finance as defined in SFO Sch.5 Pt.2; the recorded interview was admissible because the appellant was clearly informed and understood the voluntary nature and rights associated with an interview under caution; the appellant, as the company's directing mind who negotiated and signed the contract, assisted/caused the company to display the regulated activity and, having no licence and offering no reasonable excuse, was criminally liable under s.390(1); therefore the conviction and…