Defending SFC Enforcement ActionS

Tuesday, August 9, 2011 | 12:30 pm to 2:00 pm

TIMOTHY LOH, SOLICITORS
Suite 3503 The Lee Gardens
33 Hysan Avenue
Causeway Bay, Hong Kong

Presenter(s): Timothy Loh

Registration fee: HK$500 (including lunch)

Seats are limited. To register, please RSVP to Jane Chiu

jchiu@timothyloh.com
Tel: +852 2899.0407

Topics to be covered

Investigation Powers

• Range of powers
• Process
• Self-incrimination
• Secrecy

Disciplinary Powers

• Process
• Sanctions
• Settlement

Appeals to SFAT

Tactics

• Internal Investigations
• Written Submissions
• Interviews

Who should attend

• In-house Counsel and Compliance Officers
• Directors, Responsible Officers and executives of SFC regulated companies

About the Firm

Founded in 2004, TIMOTHY LOH, SOLICITORS is an internationally recognized Hong Kong law firm focused on mergers & acquisitions, contentious regulatory matters and general financial markets and financial services matters. The firm is a leader in banking, financial regulation, corporate finance, capital markets and investment funds as measured by its rankings and those of its lawyers in leading independent editorial publications. The firm routinely acts for Fortune Global 500 companies. For more information, visit www.timothyloh.com.

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