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:

Time: 12:00 - 14:00

Venue: Suite 1007-8, 10th Floor St. George's Building 2 Ice House Street, Central, Hong Kong

Cost: HK$750

This seminar is intended for senior business executives, in-house lawyers and compliance professionals at companies listed on the Stock Exchange of Hong Kong.

Speakers Bio:

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

Mr. Comtois is a litigator whose practice includes representing clients in SFC investigations and disciplinary proceedings, the resolution of commercial disputes related to the provision of financial services and white collar criminal proceedings.


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