Seminar: How to Handle Thematic and Periodic SFC Inspections. June 6, 2018.
All licensed corporations are periodically inspected by the Supervision Department of the Securities and Futures Commission, usually with only short notice given for on-site visits. A poorly handled inspection may increase the risk of SFC enforcement action. In this seminar we outline what you may expect to occur during an on-site inspection and what the SFC may be looking for. We provide our perspective on how to prepare for the inspection process and how to deal with the inspection team once it turns up at your office.
Please join us for this lunch time seminar as a distinguished panel of practitioners discusses how to handle SFC Inspections.
Timothy Loh, Managing Partner
Mr. Loh has extensive experience advising SFC regulated firms on all aspects of the conduct of their business and representing such firms not only in proceedings commenced by the SFC alleging misconduct but also in court and arbitral proceedings commenced by clients.
Greg Heaton, Senior Consultant
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 SFC licensed intermediaries and the development of regulatory policy. 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||Wednesday, June, 06, 2018 | 12:30pm|
|Ending Time||June, 06, 2018|
|Maximum Number of Seats||10|
|Price per Person||HK$750.00|
|Venue||Timothy Loh LLP|