Regulatory Enforcement

  • Anatomy of a Law Enforcement/Regulatory “Dawn Raid”

    Regulators and law enforcement agencies have in recent times become more aggressive in investigating alleged large-scale corporate misconduct, bribery and fraud. This means that major executions of search warrants and the exercise of immediate arrest and interview powers (which together are features of what is commonly referred to as “dawn raids” conducted by law enforcement agencies and regulators) has become and could, for some time to come, continue to be more widespread. In this seminar, we will conduct a run through of some of the main practical issues associated with facing and handling a dawn raid, as well as follow-up work and issues in its aftermath. “War stories” from past experiences will be recounted along the way.

    28 Sep, 2018

    Courses
  • Obligations and Liabilities of Sponsors in IPOs

    Hong Kong continues to be one of the top locations in the world for Initial Public Offerings “IPO”s. However, irregularities that have come to light in companies post-listing leading to some IPOs being delisted. To maintain confidence and  market stability the SFC has enhanced its enforcement of sponsor activity and sponsors now face increased liability for failures. The following course will provide an overview of the obligations and liabilities of sponsors in an IPO.

    24 Apr, 2018

    Courses
  • Obligations of Sponsors in IPOs: a regulatory enforcement perspective

    Sponsors in the IPO process play a pivotal role. They help to provide the public with confidence that the applicants for listing have met the necessary regulatory requirements for listing. Part of this role involves ensuring that an accurate picture of the listing applicant’s business and financial statements were presented to investors in the Prospectus. This course will provide a comprehensive overview and update of the current obligations of sponsors and bookrunners in the IPO process.

    31 Aug, 2018

    Courses
  • 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.

    10 Aug, 2018

    Courses
  • SFC Investigations and Enforcement Powers under the SFO

    The SFC significantly increased the number of cases that they have been initiating this year. There has been a corresponding rise in the number of enforcement activities they have commenced. 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.

    28 Feb, 2018

    Courses
  • 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.

    09 Nov, 2018

    Courses
  • 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.

    15 May, 2019

    Courses