[EN] Profit gaining through front running https://hkbedc.icac.hk/en/resources/case_studies/148 Intro: Ken is working for an international futures trading company as a dealing manager. His company often receives orders from fund managers whose moves can significantly affect the market. Taking this opportunity, Ken makes some secret arrangements with Anna, a dealer of another futures trading company… https://hkbedc.icac.hk/cache/img/31abbe15639fd8ff9efb86738729097f.jpg [ZH-HANT] 利用超前交易謀取私利 https://hkbedc.icac.hk/zh-hant/resources/case_studies/148 Intro: 簡寧是一間國際期貨交易公司的交易經理，他的公司經常接到不少基金經理落盤，交易量足以影響市場走勢。簡寧乘工作之便，與另一間期貨交易公司的交易員蔓娜進行秘密交易… https://hkbedc.icac.hk/cache/img/31abbe15639fd8ff9efb86738729097f.jpg [ZH-HANS] 利用超前交易谋取私利 https://hkbedc.icac.hk/zh-hant/resources/case_studies/148 Intro: 简寧是一间国际期货交易公司的交易经理，他的公司经常接到不少基金经理落盘，交易量足以影响市场走势。简寧乘工作之便，与另一间期货交易公司的交易员蔓娜进行秘密交易… https://hkbedc.icac.hk/cache/img/31abbe15639fd8ff9efb86738729097f.jpg

[EN] An offence committed notwithstanding incomplete corrupt transaction https://hkbedc.icac.hk/en/resources/case_studies/149 Intro: Agnes, an account manager of a brokerage firm, offered money to Alan, a senior portfolio manager of an asset management corporation, for his assistance in persuading other members in the selection committee to direct business to her. https://hkbedc.icac.hk/cache/img/e2b2c97971046c20f048fd28accf50b7.jpg [ZH-HANT] 貪污目的未達仍屬違法 https://hkbedc.icac.hk/zh-hant/resources/case_studies/149 Intro: 經紀行客戶經理艾美向大型資產管理公司的投資組合高級經理亞倫提供回佣，要求他協助說服甄選委員會其他委員將生意轉介給她。 https://hkbedc.icac.hk/cache/img/e2b2c97971046c20f048fd28accf50b7.jpg [ZH-HANS] 贪污目的未达仍属违法 https://hkbedc.icac.hk/zh-hant/resources/case_studies/149 Intro: 经纪行客户经理艾美向大型资产管理公司的投资组合高级经理亚倫提供回佣，要求他协助說服甄选委员会其他委员将生意转介给她。 https://hkbedc.icac.hk/cache/img/e2b2c97971046c20f048fd28accf50b7.jpg

[EN] Excessive entertainment and gifts https://hkbedc.icac.hk/en/resources/case_studies/151 Intro: Margaret was an account manager of a brokerage company. Daniel, her client, treated her and her subordinates to a luxurious dinner and offered her an antique watch after earning a good sum of money in his investment. https://hkbedc.icac.hk/cache/img/76356dce052c5225ed341af263a28a1e.jpg [ZH-HANT] 奢華款待及饋贈 https://hkbedc.icac.hk/zh-hant/resources/case_studies/151 Intro: 美琪是一間經紀行的會計經理，客戶盧狄投資賺了不少錢，便邀請美琪和一班同事享用豪華晚宴，更送了一隻古董手錶給美琪。 https://hkbedc.icac.hk/cache/img/76356dce052c5225ed341af263a28a1e.jpg [ZH-HANS] 奢华款待及馈赠 https://hkbedc.icac.hk/zh-hant/resources/case_studies/151 Intro: 美琪是一间经纪行的会计经理，客户盧狄投资赚了不少钱，便邀请美琪和一班同事享用豪华晚宴，更送了一只古董手表给美琪。 https://hkbedc.icac.hk/cache/img/76356dce052c5225ed341af263a28a1e.jpg

[EN] Offering and accepting an advantage both constituting an offence https://hkbedc.icac.hk/en/resources/case_studies/153 Intro: Peter was a dealing director of a brokerage company. He was offered a country club membership in exchange for referring company’s business to his golf partner, who was an external broker. https://hkbedc.icac.hk/cache/img/a564c0142fbcab5d11ec3cc395f2de07.jpg [ZH-HANT] 提供及收受利益均屬違法 https://hkbedc.icac.hk/zh-hant/resources/case_studies/153 Intro: 經紀行交易董事彼得接受高爾夫球拍檔兼外判經紀給予的鄉村俱樂部會籍，以轉介生意給對方。 https://hkbedc.icac.hk/cache/img/a564c0142fbcab5d11ec3cc395f2de07.jpg [ZH-HANS] 提供及收受利益均属违法 https://hkbedc.icac.hk/zh-hant/resources/case_studies/153 Intro: 经纪行交易董事彼得接受高尔夫球拍档兼外判经纪给予的乡村具乐部会籍，以转介生意给对方。 https://hkbedc.icac.hk/cache/img/a564c0142fbcab5d11ec3cc395f2de07.jpg

[EN] Falsifying client's loan application https://hkbedc.icac.hk/en/resources/case_studies/23 Intro: A relationship manager of a bank, without his client’s knowledge, forged documents to deceive the bank in approving an increase in the client’s credit limit and a new loan. He then transferred the money to an account he controlled. https://hkbedc.icac.hk/cache/img/052b358981bd8513caf14985745d47dc.jpg [ZH-HANT] 偽造客戶貸款申請 https://hkbedc.icac.hk/zh-hant/resources/case_studies/23 Intro: 銀行客戶經理在客戶不知情下，偽造文件代客戶增加信用額並申請貸款，他然後將資金轉移到他控制的帳戶中。 https://hkbedc.icac.hk/cache/img/052b358981bd8513caf14985745d47dc.jpg [ZH-HANS] 伪造客户贷款申请 https://hkbedc.icac.hk/zh-hant/resources/case_studies/23 Intro: 银行客户经理在客户不知情下，伪造文件代客户增加信用额并申请贷款，他然后将资金转移到他控制的帐户中。 https://hkbedc.icac.hk/cache/img/052b358981bd8513caf14985745d47dc.jpg

[EN] Conspiracy to make bogus hire purchase loans https://hkbedc.icac.hk/en/resources/case_studies/25 Intro: To meet sales quota, a sales executive of a finance company conspired with a machine supplier, by turning a blind eye to the false invoices during a loan application. https://hkbedc.icac.hk/cache/img/a2071429076e88c92d694a223f00b60c.jpg [ZH-HANT] 串謀偽造文件騙取租購貸款 https://hkbedc.icac.hk/zh-hant/resources/case_studies/25 Intro: 為了達到銷售指標，一間財務公司的銷售主管與一名機器供應商合謀，對他們在申請貸款時提交的虛假發票視而不見。 https://hkbedc.icac.hk/cache/img/a2071429076e88c92d694a223f00b60c.jpg [ZH-HANS] 串谋伪造文件骗取租购贷款 https://hkbedc.icac.hk/zh-hant/resources/case_studies/25 Intro: 为了达到销售指标，一间财务公司的销售主管与一名机器供应商合谋，对他们在申请贷款时提交的虚假发票视而不见。 https://hkbedc.icac.hk/cache/img/a2071429076e88c92d694a223f00b60c.jpg

[EN] Offering an advantage to obtain business is in breach of the law https://hkbedc.icac.hk/en/resources/case_studies/189 Intro: Ken was a bank manager. In order to boost his work performance, he proposed to offer commissions to a property agent who agreed to refer clients to apply for mortgage loans through him. https://hkbedc.icac.hk/cache/img/eb9d90d93c400b8ad1ed96290bd97d08.jpg [ZH-HANT] 提供利益以招攬生意屬犯法行為 https://hkbedc.icac.hk/zh-hant/resources/case_studies/189 Intro: 立仁是銀行經理，為了提高工作表現，他向一名地產經紀提出給予對方回佣，作為對方介紹客戶向他申請按揭。 https://hkbedc.icac.hk/cache/img/eb9d90d93c400b8ad1ed96290bd97d08.jpg [ZH-HANS] 提供利益以招揽生意属犯法行为 https://hkbedc.icac.hk/zh-hant/resources/case_studies/189 Intro: 立仁是银行经理，为了提高工作表现，他向一名地产经纪提出给予对方回佣，作为对方介绍客户向他申请按揭。 https://hkbedc.icac.hk/cache/img/eb9d90d93c400b8ad1ed96290bd97d08.jpg

[EN] Personal relationship taking a higher priority https://hkbedc.icac.hk/en/resources/case_studies/179 Intro: Nancy, a bank administration manager, awarded a small scale renovation project to an interior decoration company owned by her brother without disclosing their relationship to the bank. https://hkbedc.icac.hk/cache/img/67b5b6b8b27c5a9750a10cdd1d646280.jpg [ZH-HANT] 假公濟私 https://hkbedc.icac.hk/zh-hant/resources/case_studies/179 Intro: 銀行行政經理慧芬向弟弟開設的室內設計公司批出小型翻新工程，但沒有向銀行透露二人的關係。 https://hkbedc.icac.hk/cache/img/67b5b6b8b27c5a9750a10cdd1d646280.jpg [ZH-HANS] 假公济私 https://hkbedc.icac.hk/zh-hant/resources/case_studies/179 Intro: 银行行政经理慧芬向弟弟开设的室内设计公司批出小型翻新工程，但没有向银行透露二人的关系。 https://hkbedc.icac.hk/cache/img/67b5b6b8b27c5a9750a10cdd1d646280.jpg

[EN] Accepting special discount from client https://hkbedc.icac.hk/en/resources/case_studies/182 Intro: Alan operated a car rental company and had insured all his cars with Bryan, a manager of a bank's insurance department. Without the bank’s approval, Bryan bought an “old” car from Alan at a low price. https://hkbedc.icac.hk/cache/img/d31de42a6b1a1ce61ed07287b6a75da2.jpg [ZH-HANT] 接受客戶特別優惠 https://hkbedc.icac.hk/zh-hant/resources/case_studies/182 Intro: 文強是一家租車公司的老闆，公司所有的汽車保險均向銀行保險經理振邦購買；振邦卻在未經銀行許可下，以低價向文強購買了一輛「舊」車。 https://hkbedc.icac.hk/cache/img/d31de42a6b1a1ce61ed07287b6a75da2.jpg [ZH-HANS] 接受客户特别优惠 https://hkbedc.icac.hk/zh-hant/resources/case_studies/182 Intro: 文强是一家租車公司的老板，公司所有的汽車保险均向银行保险经理振邦购买；振邦却在未经银行许可下，以低价向文强购买了一辆「旧」車。 https://hkbedc.icac.hk/cache/img/d31de42a6b1a1ce61ed07287b6a75da2.jpg

[EN] Circulation of inside information within the institution https://hkbedc.icac.hk/en/resources/case_studies/184 Intro: Kim, a bank’s senior credit officer, disclosed the proposed acquisition of an overseas investment company to a trader in the bank’s stock broking section. The trader bought a major block of shares for the bank after the “tip-off”. https://hkbedc.icac.hk/cache/img/01cc8000641ab8a1fda3a92215e4ad11.jpg [ZH-HANT] 於銀行內部披露內幕消息 https://hkbedc.icac.hk/zh-hant/resources/case_studies/184 Intro: 銀行高級信貸主任家衡向股票投資部的交易員披露了一宗海外投資公司的收購計劃，在收到「提示」之後，該交易員為銀行大手買入有關股票。 https://hkbedc.icac.hk/cache/img/01cc8000641ab8a1fda3a92215e4ad11.jpg [ZH-HANS] 于银行内部披露内幕消息 https://hkbedc.icac.hk/zh-hant/resources/case_studies/184 Intro: 银行高级信贷主任家衡向股票投资部的交易员披露了一宗海外投资公司的收购计划，在收到「提示」之后，该交易员为银行大手买入有关股票。 https://hkbedc.icac.hk/cache/img/01cc8000641ab8a1fda3a92215e4ad11.jpg