Seminar: Defending An SFC Investigation. November 6, 2017
In the past few years, the Securities and Futures Commission ("SFC") has earned a reputation as an innovative and aggressive regulator, pursuing enforcement action against regulated entities, listed companies and their directors and other market participants alike.
Please join us for this lunch time seminar as a distinguished panel of practitioners discusses how to handle SFC enforcement action, from the receipt of an investigation notice through to prosecution.
Timothy Loh, Managing Partner
Mr. Loh has extensive experience handling SFC investigations and other enforcement action. His recent experience includes:
- Representing Pacific Sun and Andy Mantel at the Court of Final Appeal in a seminal case that defined the scope of the professional investors exemption
- Representing Andrew Left in respect of his report on Evergrande in the first case in any major financial centre against an activist short seller
- Representing one of the directors of AcrossAsia in respect of the first case against a director for breach of the new statutory disclosure of inside information regime
Greg Heaton, Former Senior Director and Head of Licensing at the SFC
Mr. Heaton, who recently joined this firm, was formerly a Senior Director at the SFC, where he played a key role in the oversight of all aspects of the regulation of SFC licensed intermediaries. He was the Head of the Licensing Department at the SFC and a member of the Board of the Financial Dispute Resolution Centre, the body responsible for the arbitration and mediation of disputes involving financial institutions regulated by the SFC and the Hong Kong Monetary Authority and their clients.
This seminar is intended for senior business executives, in-house lawyers, compliance professionals at listed companies, SFC regulated entities and other organisations active in the financial markets.
This seminar includes a buffet style lunch with choice of hot entrees.
|Time||Monday, November, 06, 2017 | 12:30pm|
|Ending Time||Monday, November, 06, 2017 | 2:00pm|
|Maximum Number of Seats||9|
|Price per Person||HK$800.00|
|Venue||Timothy Loh LLP|