How to Handle Thematic and Periodic SFC Inspections

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.