SQE Statutory duties, discipline and offences question: salesperson with Harbour Realty

EAA SQEStatutory duties, discipline and offences

During an investigation under section 28, the investigator asks Mandy Yuen, a salesperson with Harbour Realty Limited, to produce her viewing records for a flat. The records are in her possession. Without reasonable excuse she refuses. What is the legal position?

A She commits an offence, punishable on indictment by a fine of HK$200,000 and imprisonment for 1 year
B She commits no offence, but her refusal may count against her at any later disciplinary inquiry
C She commits an offence, punishable on indictment by a fine of HK$500,000 and imprisonment for 2 years
D She commits an offence only if the records later turn out to show a breach of the Ordinance

Show the answer and explanation

Answer: A. She commits an offence, punishable on indictment by a fine of HK$200,000 and imprisonment for 1 year

Answer: She commits an offence under section 55(1)(e), with a maximum on indictment of HK$200,000 and 1 year's imprisonment. Why not the others: - No offence: failing without reasonable excuse to comply with section 28(5) is itself an offence. - HK$500,000 and 2 years: that is the penalty for unlicensed estate agency business under section 55(1)(a). - Only if a breach is later found: the offence is the failure to produce; it does not depend on what the records show. Rule: A person who without reasonable excuse fails to produce records, give explanations or give assistance required under section 28(5) is liable on indictment to HK$200,000 and 1 year, or on summary conviction to a fine at level 6 and 6 months. Source: Estate Agents Ordinance (Cap. 511), sections 28(5), 55(1)(e) and 55(3)(b); as at Oct 2026

Common mistake

Candidates treat non-cooperation with an EAA investigator as a disciplinary matter only, but it is a criminal offence.

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An original question written to the published SQE syllabus. Figures in the explanation carry their effective dates; check them against the current law before relying on them. Independent exam practice. Not affiliated with or endorsed by the Estate Agents Authority (EAA) or the examination administrator.