Courses
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SFC Investigations and Enforcement Proceedings
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.
09 Dec, 2019
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.
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