[EN] Conflict of interest and abuse of authority in granting credit facility https://hkbedc.icac.hk/en/resources/case_studies/180 Intro: Laura was a bank staff and also a director of a company owned by her paramour, Ricky. Laura approved an application for a credit facility by Ricky and it was later found that the application was supported by bogus documents. https://hkbedc.icac.hk/cache/img/2083e3b8fe9882ff96ba068478d8e99d.jpg [ZH-HANT] 利益衝突及濫用職權批核信貸 https://hkbedc.icac.hk/zh-hant/resources/case_studies/180 Intro: 銀行職員美美，亦在情夫家明開設的公司擔任董事。美美批核了家明的銀行信貸申請，後來銀行發現家明申請時遞交了虛假的證明文件。 https://hkbedc.icac.hk/cache/img/2083e3b8fe9882ff96ba068478d8e99d.jpg [ZH-HANS] 利益冲突及滥用职权批核信贷 https://hkbedc.icac.hk/zh-hant/resources/case_studies/180 Intro: 银行职员美美，亦在情夫家明开设的公司担任董事。美美批核了家明的银行信贷申请，后来银行发现家明申请时递交了虚假的证明文件。 https://hkbedc.icac.hk/cache/img/2083e3b8fe9882ff96ba068478d8e99d.jpg

[EN] Loans and auditing https://hkbedc.icac.hk/en/resources/case_studies/213 Intro: Adam, who worked in the audit department of a deposit-taking company, was requested by the manager of the loans department to assist in recommending a loan to his uncle. He was offered some company’s shares in return. https://hkbedc.icac.hk/cache/img/066bc0be1da1b287c064fac372817842.jpg [ZH-HANT] 貸款及稽核 https://hkbedc.icac.hk/zh-hant/resources/case_studies/213 Intro: 浩然是一間大型接受存款公司稽核部的職員，他應貸款部經理的要求，協助其舅父申請貸款，事成後將會獲得其舅父新工廠的部分股權作為報酬。 https://hkbedc.icac.hk/cache/img/066bc0be1da1b287c064fac372817842.jpg [ZH-HANS] 贷款及稽核 https://hkbedc.icac.hk/zh-hant/resources/case_studies/213 Intro: 浩然是一间大型接受存款公司稽核部的职员，他应贷款部经理的要求，协助其舅父申请贷款，事成后将会获得其舅父新工厂的部分股权作为报酬。 https://hkbedc.icac.hk/cache/img/066bc0be1da1b287c064fac372817842.jpg

[EN] Release of insider information https://hkbedc.icac.hk/en/resources/case_studies/214 Intro: Dicken, a financial controller of a listed company, intended to hint his best friend to acquire his company’s shares before public announcement; so that his friend could gain some profits to finance his medical treatment. https://hkbedc.icac.hk/cache/img/2168c766226c06eb51cd9849a4555129.jpg [ZH-HANT] 放內幕消息 https://hkbedc.icac.hk/zh-hant/resources/case_studies/214 Intro: 迪勤是上市公司的財務總監，他打算暗示好朋友在招股消息公布前購買其公司股票，令朋友獲利以支付醫療費用。 https://hkbedc.icac.hk/cache/img/2168c766226c06eb51cd9849a4555129.jpg [ZH-HANS] 放内幕消息 https://hkbedc.icac.hk/zh-hant/resources/case_studies/214 Intro: 迪勤是上市公司的财务总监，他打算暗示好朋友在招股消息公布前购买其公司股票，令朋友获利以支付医疗费用。 https://hkbedc.icac.hk/cache/img/2168c766226c06eb51cd9849a4555129.jpg

[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] 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] 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] 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