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Seminar: New Suitability Requirements for Offline Sale of Complex Products

Described by the Securities and Futures Commission (“ SFC ”) as the “cornerstone of investor protection”, suitability obligations continue to evolve both in terms of the standard of conduct required to comply but also in terms of the cost of failure to comply. With fines in one case tabulated at HK$5 million per failure to comply and both the SFC and the Hong Kong Monetary Authority (“ HKMA ”) ever keen to promote these obligations, it has never been more important for persons licensed or registered with the SFC to ensure compliance. Arguably, the introduction of new requirements to ensure the suitability of so-called “complex products” represents another step in denying investors the freedom to make their own choices, absolving investors of responsibility for their own choices and imposing advisory duties upon market players whose business models may be non-advisory in nature. These requirements appear to seek to use regulatory means to counter a judicial system that has tended to be less sympathetic to claims of mis-selling.

Seminar: How to Handle Thematic and Periodic SFC Inspections

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.

Seminar: Defending An SFC Investigation: 2019 Annual Review

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.

Seminar: New Suitability Requirements for Offline Sale of Complex Products (April 8, 2019)

Described by the Securities and Futures Commission (“ SFC ”) as the “cornerstone of investor protection”, suitability obligations continue to evolve both in terms of the standard of conduct required to comply but also in terms of the cost of failure to comply. With fines in one case tabulated at HK$5 million per failure to comply and both the SFC and the Hong Kong Monetary Authority (“ HKMA ”) ever keen to promote these obligations, it has never been more important for persons licensed or registered with the SFC to ensure compliance. Arguably, the introduction of new requirements to ensure the suitability of so-called “complex products” represents another step in denying investors the freedom to make their own choices, absolving investors of responsibility for their own choices and imposing advisory duties upon market players whose business models may be non-advisory in nature. These requirements appear to seek to use regulatory means to counter a judicial system that has tended to be less sympathetic to claims of mis-selling.

Seminar: How to Handle Thematic and Periodic SFC Inspections ( April 9, 2019 )

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.

Seminar: How to Handle Thematic and Periodic SFC Inspections ( April 12, 2019 )

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.

Seminar: How to Handle Thematic and Periodic SFC Inspections ( April 11, 2019 )

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.

Seminar: How to Handle Thematic and Periodic SFC Inspections ( April 10, 2019 )

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.

Seminar: Defending An SFC Investigation: 2019 Annual Review (February 20, 2019)

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.

Seminar: Defending An SFC Investigation: 2019 Annual Review (February 18, 2019)

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.

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