Regulatory & SFC Compliance
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SFC Investigations and proceedings against Listed Companies and Directors
The SFC has stepped up its efforts in pursuing after listed companies in recent years. In December 2013, a dedicated Corporate Regulation team was set up to ensure that the right information is disclosed to investors at the appropriate time using powers under s.179 of the Securities and Futures Ordinance (“SFO”) to identify corporate misconduct. This course will provide a comprehensive overview and practical guidance to the investigatory and enforcement powers of the SFC.
08 Aug, 2017
Courses -
SFC Investigations and proceedings against listed companies and directors
The SFC has stepped up its efforts in pursuing after listed companies in recent years. In December 2013, a dedicated Corporate Regulation team was set up to ensure that the right information is disclosed to investors at the appropriate time using powers under s.179 of the Securities and Futures Ordinance (“SFO”) to identify corporate misconduct. This course will provide a comprehensive overview and practical guidance to the investigatory and enforcement powers of the SFC.
26 Oct, 2017
Courses -
SFC licensing Regime Update and Upcoming Expanded SFC Type 9 License Regime
This course will provide an update of the current SFC licensing requirements for intermediaries such as common issues arising from SFC licenses applications and details of upcoming expanded Type 9 license regime and its impact on fund management companies and hedge fund managers will also be discussed.
26 Apr, 2017
Courses -
SFC Licensing Regime Update and Upcoming Expanded SFC Type 9 License Regime
This course will provide an update of the current SFC licensing requirements for intermediaries such as points to note in using SFC New Licensing Forms and Supplements (effective from 11 April 2019), common issues arising from SFC licenses applications and details of upcoming expanded Type 9 license regime and its impact on fund management companies and hedge fund managers will also be discussed.
11 Apr, 2019
Courses