Managing Employee Investigations & Misconduct
Best Practices for SFC Regulated Firms

Employee misconduct, including dishonesty, conflicts of interest and general failures to follow in-house compliance policies and procedures, can result in disciplinary action against the employees themselves as well as the SFC regulated firms for whom they work and their responsible officers for supervisory failures.

In this seminar, we discuss how management of SFC regulated firms should handle suspected employee misconduct with a view to addressing regulatory, employment and liability issues.

Specific topics include:

• Internal investigations

• Addressing clients' complaints

• Regulatory reporting

• Suspension and termination of employment

• Bonuses and garden leave

This seminar provides insights for both management and employees.

REGISTER NOW

Select below the date on which you would like to attend our seminar:

• Tuesday, February 25, 2025 (FULL)

• Wednesday, February 26, 2025

Time: 12:30 - 14:00

Venue: Suite 1007-8, 10th Floor St. George's Building 2 Ice House Street, Central, Hong Kong

Cost: HK$750 ( including catered buffet lunch )

1 CPT Hour*

*Participants licensed by the SFC will upon request receive a certificate of attendance confirming 1 continuous professional training (“CPT”) hour after completing this seminar.