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:

  • SFC’s approach to investigations
    • Key regulatory themes
    • Approach to enforcement
    • Enforcement priorities
    • Increased fines
    • “Non-traditional” enforcement approach
  • Overview of SFC’s powers of investigation and enforcement under the SFO
    • Introduction to the SFO
    • Areas of investigation
    • Investigative powers
  • SFC’s disciplinary regime, proceedings and appeal procedures
    • Disciplinary regime
    • Civil proceedings
    • Criminal proceedings
    • MMT civil proceedings vs. criminal proceedings
    • Appeal: the SFAT
  • SFC’s co-operation with other enforcement agencies
  • SFC enforcement priorities
    • Senior management
    • Sponsor misconduct
    • Directors of listed companies
  • How to handle a SFC investigation:
    • Investigation process
    • Main objective when dealing with a SFC investigation
    • Obligations
    • Practical tips
  • Case Studies

Registration Conditions

To view our registration conditions click here.