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 Inspection.
This seminar includes a buffet style lunch with choice of hot entrees.
Please join us for this lunch time seminar as we discuss how to handle SFC Inspection.
Mr Loh has a wide range of experience advising on securities laws, banking laws and anti-money laundering laws in the context of digital assets in both contentious settings where clients are responding to regulatory enforcement proceedings and in non-contentious settings where clients are structuring and launching new products. He has represented crypto-currency and crypto-currency derivative exchange operators as well as issuers of stable coins and security and utility tokens. He has a strong background in traditional exchange and clearing systems and OTC products advising not only on regulatory issues but the full range of corporate and insolvency law issues.
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