SFC License Type 9 – FAQs on SFC Asset Management Regulation
In these FAQs on SFC License Type 9, we provide guidance on SFC asset management regulation
Timothy Loh, Managing Partner
+852 2899 0179
Seminar:
Defending an SFC Investigation
Defending an SFC Investigation
* Registration is now FULL for March 25 and our additional seminars for March 27 and April 22 are also FULL.
We will arrange another date for this seminar in May if we are able to meet the required attendance.
Wednesday, March 25, 2015 | 12:30 pm to 2:00 pm (FULL)
Speaker: Timothy Loh
Please join us for this lunch-time seminar as we discuss how to handle SFC enforcement action. Presented by our firm's principal, this seminar is intended for business executives and in-house lawyers and compliance officers at listed companies, SFC regulated entities and other organizations active in the financial markets. This seminar includes a buffet style lunch with choice of hot entrees.
| Venue: | Timothy Loh Solicitors Suite 1007-8, 10th Floor St. George's Building 2 Ice House Street Central, Hong Kong |
| Registration Fee: | HK$650 (including lunch) |
| CPT: | Eligible for 1 CPT point. |
Registration is now close. Please visit our website for the schedule of future seminar.
Topics to be covered
- SFC powers of investigation
- Statutory secrecy obligations
- Self-incrimination privilege
- Grounds for non-disclosure
- Defensive tactics
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