Defending An SFC Investigation.

Due to the level of response and limited capacity of the venue, the seminar is now fully booked. In the circumstance, we are now offering two additional seminar dates, namely Friday, November 18, 2016 and Wednesday, December 7, 2016.

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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.

Speakers

 

Timothy Loh, Managing Partner
Francis Comtois, Partner

Mr. Loh and Mr. Comtois have extensive experience handling SFC investigations and other enforcement action. Their 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

This seminar is intended for senior business executives, in-house lawyers, compliance professionals at listed companies, SFC regulated entities and other organisations active in the financial markets.

This seminar includes a buffet style lunch with choice of hot entrees.

Please join us for this lunch-time seminar as we discuss how firms should deal with SFC enforcement action for market misconduct.