How to Handle Investigations by the SFC and HKMA


‧ Overview of SFC and HKMA’s formal investigatory powers
‧ Practical foucs:
- Answering notices from regulators (HKMA and SFC) (s.180, s.182 and s.183)
- Dealing with HKMA and SFC interviews
- Responding to SFC search warrants
- Dealing with Police and ICAC search warrants and interviews
‧ - Claiming privilege
- Dealing with other regulators (overseas regulators)
‧ How to avoid typical problems
‧ SFC’s general approach to investigation and enforcement
‧ Common areas of regulatory focus:
- Market misconduct - personal account dealing, market sounding activities etc.
- Short position reporting - private placements
- M&A/Take-Over Transactions & Major Acquisitions
- Disclosure of Interests
- Retail banking - selling of structured products
- Adequacy of internal controls
- Unlicensed activities
‧ Statutory secrecy obligations (s.378)

Mr Alan Linning
Speaker(s): Partner
Sidley Austin

Speaker(s): Mr Dominic James
Speaker(s): Associate
Sidley Austin

Event Code : ADP111213
Date : 12/11/2013 (Tuesday)
Time :

9:00am - 9:30am Registration ( tea & coffee)
9:30am - 12:45pm Seminar / Q & A

Venue: Training Centre, Hong Kong Securities and Investment Institute
24/F, Wing On Centre, 111 Connaught Road Central, Hong Kong
Language : English
Hours :

3 CPD: The Law Society of Hong Kong
3 CPD: The Law Society of British Columbia
3 CLE Credit : New York State's CLE Program
3 non-core CPD : MPFA
(In order to collect full CPT/CPD hours, participants MUST attend the whole course including the question & answer session.)

Fees : Member (Members' Enrolment (HKSI Individual Members(MHKSI, FHKSI, FHKSI (Hon)) and Staff of HKSI Corporate Members) at HK$1,780 per person
Non-member at HK$1,980 per person


Register now to ensure your seat. For further enquiries, please call us on 3120 6172.