This seminar provides a practical overview on investigations performed financial industry regulators and law enforcement agencies, including the Securities and Futures Commission, the Hong Kong Monetary Authority, the Independent Commission Against Corruption and the Commercial Crime Bureau of the Hong Kong Police.
Highlights of the course include:
- Investigation powers of regulators and law enforcement agencies;
- Dealing with document production requests, including
- The differences between regulatory production notices and search warrants;
- Practical issues in collating documents sought by regulators and law enforcement agencies; and
- Assertions of legal professional privilege; and
- Dealing with requests for interviews or written answers to questions, including
- Differences between being a “suspect” and “witness”;
- Third party confidentiality issues;
- Various forms of privilege that may be claimed; and
- Practical “do’s and don’ts” in preparing for and giving answers at interviews.