SFC Enforcement Actions Against Listed Companies and Directors

The SFC has taken significant steps in refocusing their enforcement priorities in recent years. It appears that they are focusing primarily in the realm of alleged corporate fraud and misfeasance, both in terms of investigations/enforcement actions against listed companies and their directors or senior personnel. This course will provide a comprehensive overview and practical guidance to the investigatory and enforcement powers of the SFC against listed companies and their directors.

Detailed Information

Highlights of the course include:

  • Overview of SFC’s powers against listed companies under the SFO
  • SFC’s investigation powers against listed companies
    • SFC’s investigation powers and areas of investigation
      • Notices issued under ss179, 182 and 183
  • How to handle a SFC investigation
    • Regulatory notices vs search warrants
    • Document retention and review of documents
    • Preparing for and dealing with the interview
    • Privilege against self-incrimination – right to remain silent?
  • Common issues arising in SFC investigation
    • Secrecy provisions
    • Privilege and confidential issues
  • SFC’s enforcement powers against listed companies
    • Market misconduct-related proceedings
    • Criminal proceedings
    • S 214 proceedings
    • Case studies

Registration Conditions

To view our registration conditions click HERE.