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.
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.
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