Seminar: Defending An SFC Investigation: 2019 Annual Review
Enforcement actions by the Securities and Futures Commission (“SFC”) may begin with a formal investigation and progress to disciplinary action, civil proceedings or criminal prosecution. In recent years there has been renewed emphasis on the responsibility of senior managers, with specialist SFC teams focusing on criminal offences including corporate fraud and market manipulation, as well as misconduct by intermediaries. Directors, responsible officers and other senior executives may be held personally accountable for a failure by their firms to maintain adequate controls to ensure compliance with securities laws and other regulatory requirements.
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.
Select below the date on which you would like to attend our seminar:
About the Firm
Founded in 2004, TIMOTHY LOH LLP is an internationally recognized Hong Kong law firm focused on mergers & acquisitions, litigation 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.