CPD Course - How to Handle SFC Investigation
CPD Course to attend and earn 3 CPD Points (Accredited by The Law Society of Hong Kong)
LexisNexis CPD Course
How to Handle SFC Investigation
The regulatory nature of the Securities and Futures Commission has been crucial to listed companies in conducting their business in Hong Kong. In light of the governance and misconduct issues in recent years, the SFC has re-examined their existing regulatory tools and adopted a new approach to listing regulation. With the rich experience of Mr. Stephen Wong in the Enforcement Division of the SFC, Mr. Wong’s expertise would help to shed light on this matter. The understanding of the investigative powers, practice and approach of the SFC and the relevant case studies will be crucial to in-house counsels, corporate lawyers and companies in these areas of commercial activity.
Date: Friday, 18 January 2019
Time: 2:30pm – 5:30pm
Venue: 11/F Oxford House, Tai Koo Place, Quarry Bay, HK
CPD: 3 CPD Points (Accredited by The Law Society of Hong Kong)
Level: Intermediate | Language: English
How they usually start?
What should you be aware of?
What is the next step?
Petition to the SFC and negotiation for settlement
Questions & Answers
Partner, Stevenson, Wong & Co.
Stephen was admitted to practise as a solicitor in Hong Kong in 1999. He joined the firm in 2015.
Stephen specializes in handling complex commercial crimes, including market manipulation, insider dealing and money laundering.
Before joining the firm, Stephen spent two years working as an in-house legal counsel with Ernst & Young focusing on handling regulatory and litigious matters, including proceedings in connection with the HKICPA, the SFC as well as the liquidators. He also spent over eight years working in the Enforcement Division of the Securities and Futures Commission.