Financial Regulation International
Hong Kong
Corporate Finance Adviser Code of Conduct
Nick Etches, KPMG Hong Kong. nick.etches@kpmg.com.hk
On 1 November 2001, the Securities and Futures Commission (“SFC”) issued the Corporate Finance Adviser Code of Conduct. The
Code spells out the duties and responsibilities of corporate finance advisers and the standards expected of them. The Code
came into force on 1 December 2001.