Case Studies
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Our case studies contain analysis and discussion points for users to better understand the legal provisions. They also provide suggestions on how to prevent corruption, fraud and malpractices.
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Robert is a fund manager of an international asset management company, who manages the provident funds for certain large corporations. One day, he receives a research report from an analyst stating that the profit margin of Hydroplane is expected to be high in the forthcoming three years…
Raymond, a fund manager in a medium-sized asset management company, makes use of his official position to place business with his wife without observing his company policy on the selection of external brokers.
Donald, an account manager of a brokerage company, provides investment advice on futures options to clients and accepts clients’ orders without being licensed.
Doris, an account manager of a brokerage company, has not exercised her duties with due care, causing her client Kelvin suffered a great financial loss.
William is a fund manager. Although his clients have clearly specified a low risk mandate, William still invests a large proportion of the funds of his discretionary clients in emerging Asian countries, ignoring any warning signs of an economic downturn within the region.
