[EN] Conspiracy in insider dealing https://hkbedc.icac.hk/en/resources/case_studies/147 Intro: Dominic is a sales manager of a brokerage company. During a cocktail reception, the financial controller of one of his clients, Tony, talks to Dominic about his plan to make some short-term financial gains… https://hkbedc.icac.hk/cache/img/3e8db0979308b24f95d0030cde0adbe9.jpg [ZH-HANT] 串謀進行內幕交易 https://hkbedc.icac.hk/zh-hant/resources/case_studies/147 Intro: 杜明在一間經紀行任職營業經理。多寶實業的財務總監東尼在一次酒會上與杜明密談「賺快錢」大計。 https://hkbedc.icac.hk/cache/img/3e8db0979308b24f95d0030cde0adbe9.jpg [ZH-HANS] 串谋进行内幕交易 https://hkbedc.icac.hk/zh-hant/resources/case_studies/147 Intro: 杜明在一间经纪行任职营业经理。多宝实业的财务总监东尼在一次酒会上与杜明密谈「赚快钱」大计。 https://hkbedc.icac.hk/cache/img/3e8db0979308b24f95d0030cde0adbe9.jpg

[EN] Research without in-depth quantitative analysis https://hkbedc.icac.hk/en/resources/case_studies/139 Intro: Martin, who manages the research department of a securities company, issues a research report without conducting in-depth quantitative analysis. https://hkbedc.icac.hk/cache/img/9cf9f2ce76310da0c196afe01e1d59a3.jpg [ZH-HANT] 研究工作缺乏深入數據分析 https://hkbedc.icac.hk/zh-hant/resources/case_studies/139 Intro: 馬田是一間證券公司的研究部主管，但沒有深入分析資料，便發表研究報告。 https://hkbedc.icac.hk/cache/img/9cf9f2ce76310da0c196afe01e1d59a3.jpg [ZH-HANS] 研究工作缺乏深入數据分析 https://hkbedc.icac.hk/zh-hant/resources/case_studies/139 Intro: 马田是一间证券公司的研究部主管，但没有深入分析资料，便发表研究报告。 https://hkbedc.icac.hk/cache/img/9cf9f2ce76310da0c196afe01e1d59a3.jpg

[EN] Personal interest prevailing https://hkbedc.icac.hk/en/resources/case_studies/141 Intro: Jackson, a corporate financier, conceals his personal interest in Good Industrial and continuing to participate in the takeover project of Good Industrial for personal gain. https://hkbedc.icac.hk/cache/img/eb19b8f67d7466ae4a747d5d1266a4a5.jpg [ZH-HANT] 以個人利益為先 https://hkbedc.icac.hk/zh-hant/resources/case_studies/141 Intro: 積臣負責企業融資業務，最近率領一組同事為前鋒集團進行收購好景工業的五成股權。但積臣沒有向公司透露他持有大批好景工業股份。最後，收購行動成功，積臣因持有好景工業的股份而獲取厚利。 https://hkbedc.icac.hk/cache/img/eb19b8f67d7466ae4a747d5d1266a4a5.jpg [ZH-HANS] 以个人利益为先 https://hkbedc.icac.hk/zh-hant/resources/case_studies/141 Intro: 积臣负责企业融资业务，最近率領一组同事为前锋集团进行收购好景工业的五成股权。但积臣没有向公司透露他持有大批好景工业股份。最后，收购行动成功，积臣因持有好景工业的股份而获取厚利。 https://hkbedc.icac.hk/cache/img/eb19b8f67d7466ae4a747d5d1266a4a5.jpg

[EN] Company interests vs. client interests https://hkbedc.icac.hk/en/resources/case_studies/143 Intro: Eddie, a director of a financial group, instructs Jacob, a fund manager in the asset management division, to purchase a substantial amount of the stocks for his discretionary clients. https://hkbedc.icac.hk/cache/img/b4ac4b6a221794f2bf943057395a38ed.jpg [ZH-HANT] 公司利益與客戶利益的取捨 https://hkbedc.icac.hk/zh-hant/resources/case_studies/143 Intro: 艾迪是一間金融集團的董事，他指示資產管理部一名基金經理雅各替公司的授權買賣客戶大手認購領域企業股份。 https://hkbedc.icac.hk/cache/img/b4ac4b6a221794f2bf943057395a38ed.jpg [ZH-HANS] 公司利益与客户利益的取舍 https://hkbedc.icac.hk/zh-hant/resources/case_studies/143 Intro: 艾迪是一间金融集团的董事，他指示资产管理部一名基金经理雅各替公司的授权买卖客户大手认购領域企业股份。 https://hkbedc.icac.hk/cache/img/b4ac4b6a221794f2bf943057395a38ed.jpg

[EN] Access to insider information through official dealing https://hkbedc.icac.hk/en/resources/case_studies/145 Intro: Benny, a manager of a financial corporation, abused the inside information obtained from his position to deal in stocks for personal gain. https://hkbedc.icac.hk/cache/img/f756bbea29e3745d75f5ae35d075120d.jpg [ZH-HANT] 透過公事獲取內幕消息 https://hkbedc.icac.hk/zh-hant/resources/case_studies/145 Intro: 彭歷是一間財務機構的經理。他濫用職權獲取的內幕消息謀取私利。 https://hkbedc.icac.hk/cache/img/f756bbea29e3745d75f5ae35d075120d.jpg [ZH-HANS] 透过公事获取内幕消息 https://hkbedc.icac.hk/zh-hant/resources/case_studies/145 Intro: 彭歷是一间财务机构的经理。他濫用职权获取的内幕消息谋取私利。 https://hkbedc.icac.hk/cache/img/f756bbea29e3745d75f5ae35d075120d.jpg

[EN] Loyalty to Employer vs Responsibilities to Other Stakeholders https://hkbedc.icac.hk/en/resources/case_studies/156 Intro: Patrick was a financial controller of an information technology company planning to go public. His bosses asked him to manipulate management accounting data and to reimburse expenses without any supporting document. The sponsor offered him valuable information after the engagement… https://hkbedc.icac.hk/cache/img/1960d3ea4a4fa77df862b0c446c72c76.jpg [ZH-HANT] 忠於僱主相對於對其他利益相關者的責任 https://hkbedc.icac.hk/zh-hant/resources/case_studies/156 Intro: 畢先生在一間業務擴展迅速並計劃上市的製造商任職財務總監。公司董事長要求畢先生協助，改動部分管理賬項的數據 ，並批核沒有證明文件支持的申領開支款項申請。銀行的市場推廣董事白先生亦表示向他提供「有價值的消息」…… https://hkbedc.icac.hk/cache/img/1960d3ea4a4fa77df862b0c446c72c76.jpg [ZH-HANS] 忠于雇主相对于对其他利益相关者的责任 https://hkbedc.icac.hk/zh-hant/resources/case_studies/156 Intro: 毕先生在一间业务扩展迅速并计划上市的制造商任职财务总监。公司董事长要求毕先生协助，改动部分管理账项的數据 ，并批核没有证明文件支持的申领开支款项申请。银行的市场推广董事白先生亦表示向他提供「有价值的消息」…… https://hkbedc.icac.hk/cache/img/1960d3ea4a4fa77df862b0c446c72c76.jpg

[EN] Connected lending https://hkbedc.icac.hk/en/resources/case_studies/181 Intro: Donald, a bank manager, would like to buy large block of shares at an IPO for speculation. Lacking funds to do so, Donald approved his wife’s application for a personal loan without disclosing their relationship to his bank. https://hkbedc.icac.hk/cache/img/8f910e3ca607cd6293dcf50588a083ee.jpg [ZH-HANT] 向親友批出借貸 https://hkbedc.icac.hk/zh-hant/resources/case_studies/181 Intro: 銀行經理柏禮打算大量認購新股作私人投資。由於缺乏資金，柏禮利用職權親自批核太太在銀行的私人貸款申請，但沒有向銀行申報他們的關係。 https://hkbedc.icac.hk/cache/img/8f910e3ca607cd6293dcf50588a083ee.jpg [ZH-HANS] 向亲友批出借贷 https://hkbedc.icac.hk/zh-hant/resources/case_studies/181 Intro: 银行经理柏禮打算大量认购新股作私人投资。由于缺乏资金，柏禮利用职权亲自批核太太在银行的私人贷款申请，但没有向银行申报他们的关系。 https://hkbedc.icac.hk/cache/img/8f910e3ca607cd6293dcf50588a083ee.jpg

[EN] Access to inside information for personal dealing https://hkbedc.icac.hk/en/resources/case_studies/183 Intro: Aaron, a bank manager, learnt from his client a merger plan that would increase the stock price of a listed company. Aaron bought shares of the listed company and made a profit. He also told his brother about the information. https://hkbedc.icac.hk/cache/img/06dca565fd5413336f48d262dd31cc29.jpg [ZH-HANT] 利用內幕消息作私人交易 https://hkbedc.icac.hk/zh-hant/resources/case_studies/183 Intro: 銀行經理子健從客戶處得知一項將會提高某上市公司股價的合併計劃，於是子健買入該上市公司的股票從中獲利，並將有關消息通知弟弟。 https://hkbedc.icac.hk/cache/img/06dca565fd5413336f48d262dd31cc29.jpg [ZH-HANS] 利用内幕消息作私人交易 https://hkbedc.icac.hk/zh-hant/resources/case_studies/183 Intro: 银行经理子健从客户处得知一项将会提高某上市公司股价的合并计划，于是子健买入该上市公司的股票从中获利，并将有关消息通知弟弟。 https://hkbedc.icac.hk/cache/img/06dca565fd5413336f48d262dd31cc29.jpg

[EN] Obtaining bribe through a third party is also an offence https://hkbedc.icac.hk/en/resources/case_studies/152 Intro: Jimmy was a sales manager of a renowned securities firm who was assigned to allocate shares of a to-be-listed company to clients. He received numerous requests for purchase from investors, including his favourite client Amy… Image link: https://hkbedc.icac.hk/cache/img/c50b30e57aef615a75436a9fd88b6572.jpg [ZH-HANT] 透過第三者收購亦屬違法 https://hkbedc.icac.hk/zh-hant/resources/case_studies/152 Intro: 知名證券行營業經理占美，負責向客戶配售準備上市公司的股票，他收到不少投資者的買盤申請，當中包括他相熟的客戶－菲比。 Image link: https://hkbedc.icac.hk/cache/img/c50b30e57aef615a75436a9fd88b6572.jpg [ZH-HANS] 透过第三者收购亦属违法 https://hkbedc.icac.hk/zh-hant/resources/case_studies/152 Intro: 知名证券行营业经理占美，负责向客户配售准备上市公司的股票，他收到不少投资者的买盘申请，当中包括他相熟的客户－菲比。 Image link: https://hkbedc.icac.hk/cache/img/c50b30e57aef615a75436a9fd88b6572.jpg