SFC Investigations and Enforcement Powers under the SFO

This course will review the SFC’s investigation and enforcement powers for misconducts or offences which may be committed by directors or officers of listed companies, and will also examine SFC’s co-ordination with other enforcement bodies to penalize these persons. This course will also provide a comprehensive overview and practical guidance to the investigation and enforcement powers of the SFC.

Detailed Information

Highlights of the course include:

  • Overview of the SFC’s power of investigation and enforcement under the SFO
    • Introduction to the SFO
    • Areas of investigation by the SFC
      • Common types of corporate misconduct
    • Investigations by the SFC
      • Market misconduct offences under the SFO
    • The SFC’s investigative powers
      • Power to require production of records and documents concerning listed corporations
      • Supervision of intermediaries and their associated entities
      • Investigations
      • Conduct of investigations
      • Preservation of secrecy
    • Co-operation with other enforcement agencies
      • Key areas of investigation
      • Areas of cooperation with the SFC
    • The SFC’s disciplinary regime and proceedings
      • Disciplinary regime
      • Civil proceedings
      • Criminal proceedings
    • How to handle an SFC investigation:
      • Magistrate’s warrants
      • Main objective when dealing with an SFC investigation
      • Power to require attendance at interview
      • Quick facts about SFC interviews
      • SFC investigations
      • Important points to note
      • Restrictive notices
    • Considerations and factors in bringing judicial proceedings
      • MMT civil proceedings vs. criminal proceedings
    • Challenging decisions: appeal procedures
      • The Securities and Futures Appeals Tribunal
    • Case studies
    • Recap and practical tips

Registration Conditions

To view our registration conditions click here.