CPD Course - How to Handle SFC Investigation

CPD Course to attend and earn 3 CPD Points (Accredited by The Law Society of Hong Kong)

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.

Event Details

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

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Course Agenda

How they usually start?
- Section 183 Notice, Section 191 Search Warrant, Section 213 Injunction Order

What should you be aware of?
- Accurate Account of Facts, Legal Privilege

What is the next step?
- Interview, Right of Silence, Claim against self-incrimination

Likely Outcome

Petition to the SFC and negotiation for settlement

Case Study

Questions & Answers


Stephen Wong
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.

Highlights of the event