Seminar: Defending An SFC Investigation (December 5, 2016)
On December 16, 2016, the Securities and Futures Commission ("SFC") announced it would implement new measures to heighten senior management accountability.
Please join us for this lunch time seminar as a distinguished panel of practitioners discusses how senior managers should handle their regulatory obligations and accountability for misconduct that falls within their area of responsibility in light of the new manager-in-charge regime.
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.