LexisNexis CPD Course: How to Handle SFC Investigation

Course Outline

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.

Course Schedule

Date: 18 January 2019 | Time: 2:30pm - 5:30pm | Fee: HKD2,250

Venue: LexisNexis Hong Kong (11/F Oxford House, Taikoo Place, 979 King’s Road, Quarry Bay, Hong Kong)

CPD: 3 CPD Points (Accredited by The Law Society of Hong Kong)

Level: Intermediate | Language: English

Stephen Wong       How to Handle SFC Investigation
  • 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
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