From the enforcement actions taken in 2018 and 2019, we can notice the SFC has adopted a new approach in tackling market misconduct. The SFC has shifted its priority to serious cases, calling for small-range but large-scale investigations, which often results in heavy penalties and sanctions being imposed on the lawbreakers. While the “less-is-more” approach focuses on the bigger players, the “front-loaded” regulations allow the SFC to intervene licensed activities in an early stage to ensure compliance throughout the industry.
This course will guide you through the legal and procedural technicalities of SFC’s investigation and enforcement proceedings. Our speakers will go through the main areas of enforcement, including corporate fraud, insider dealing, market manipulation, as well as anti-money laundering.
