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.

Please join us for this lunch time seminar as we discuss how to handle SFC Inspections.

Select below the date on which you would like to attend our seminar:

  • Tuesday, April 9, 2019 (Sold Out)
  • Wednesday, April 10, 2019 (Sold Out)
  • Thursday, April 11, 2019 (Sold Out)
  • Friday, April 12, 2019 (Sold Out)
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.

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