Regulatory & SFC Compliance
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Preparing for SFC Audits and Inspections
In recent years, the Hong Kong Securities and Futures Commission (SFC) continues to strengthen its supervisory actions for licensed corporations. One key element of the SFC’s regulatory tools is their on-site reviews or inspections. Facing an inspection by the SFC can be daunting. This course will guide you through the process of how to prepare for, and what to expect, when you are faced with an inspection by the SFC. This course is for Responsible Officers, Managers-In-Charge, compliance professionals, directors of Licensed Corporations, and their professional advisors. The course will give a comprehensive review of the process involved and recommended actions when market participants face an SFC inspection.
12 Dec, 2018
Courses -
SFC Disciplinary Actions and Proceedings
Having invested significant efforts in dealing with investment mis-selling-related complaints in the immediate aftermath of the 2008 Global Financial Crisis, the SFC has continued to be active in investigating and disciplining entities and individuals within its legal and regulatory remit across a range of alleged financial sector disciplinary infractions. This course outlines the legal and practical considerations when dealing with the SFC’s disciplinary processes, as well as trends in the SFC’s use of its disciplinary and other legal powers.
30 Nov, 2018
Courses -
SFC Disciplinary Actions: Processes and Trends
Having invested significant efforts in dealing with investment mis-selling-related complaints in the immediate aftermath of the 2008 Global Financial Crisis, the SFC has continued to be active in investigating and disciplining entities and individuals within its legal and regulatory remit across a range of alleged financial sector disciplinary infractions. This course outlines the legal and practical considerations when dealing with the SFC’s disciplinary processes, as well as trends in the SFC’s use of its disciplinary and other legal powers.
12 Dec, 2016
CPD/CPT 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.
10 Mar, 2017
Courses