SFC: Liabilities of Directors and Senior Executives of Listed Companies

Tricor Services Limited - Notice - SFC: Liabilities od Directors and Senior Executives of Listed Companies - August 2017

Tricor clients listed in Hong Kong are advised to take note of the following and to take action where applicable.

The Securities and Futures Commission (“SFC”), in its Enforcement Reporter (Note) issued in
May 2017, reminded senior management of listed companies about their crucial role in the
company and the high standards expected of them.

Directors and senior executives of listed companies are urged to honestly and diligently
discharge their duties to prevent fraud, manage conflict of interests, promptly disclose inside
information and always put the company’s interests before their own in order to protect the
interests of all shareholders as well as to protect themselves from investigation and enforcement

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