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Though SFC enforcement actions against licensed persons held steady at just over 60% of the total of all enforcement actions in the 5 year period from 2015 to 2019, the 5 year period from 2020 to 2024 saw a noticeable uptick in enforcement actions against licensed persons as a proportion of all enforcement actions. During this 10 year period, the total number of enforcement actions showed no discernible up or downtrend. The risk of enforcement action against licensed persons thus appears to be increasing.
Against this backdrop, we invite you to join our Managing Partner, Timothy Loh, as he explores the latest SFC enforcement trends for 2024.
Our seminar includes a catered buffet lunch with tea and coffee served in our boardroom at St. George's Building.
Don't miss this opportunity to gain valuable insights from a legal practitioner with over 30 years of experience in the financial services industry.
REGISTER NOW
Select below the date on which you would like to attend our seminar:
Time: 12:30 - 14:00
Venue: Suite 1007-8, 10th Floor St. George's Building 2 Ice House Street, Central, Hong Kong
Cost: HK$750 ( including catered buffet lunch )
1 CPT Hour*
*Participants licensed by the SFC will upon request receive a certificate of attendance confirming 1 continuous professional training (“CPT”) hour after completing this seminar.
Tuesday, January 21, 2025
Wednesday, January 22, 2025
Thursday, January 23, 2025
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