Scrutiny of Major SFC Cases in the Past 25 Years (1989 to 2014) - Invaluable Lessons and Insights Distilled from These Cases

Outline

Stephen Suen, formerly a veteran investigator of commercial crimes and a director of enforcement of The Securities and Futures Commission (SFC), is currently a practicing barrister-at-law specializing in litigation and advisory work related to white collar crimes, money laundering and market misconduct such as market manipulation, insider dealing, provision of false / misleading information to the regulators, and other regulatory offences / contraventions under the Securities and Futures Ordinance (SFO), Takeovers Code, Listing Rules of The Hong Kong Stock Exchange Ltd (SEHK), and Code of Conduct for Persons Licensed by or Registered with the SFC.

In this seminar Stephen will scrutinize major SFC major cases that have been published by the Judiciary, Insider Dealing Tribunal (IDT) and the Market Misconduct Tribunal (MMT) during the past 25 years from 1989 (when SFC was established) to the present - 2014 with a view to investigating and distilling the invaluable lessons and insights that can be learnt from these cases.

Stephen will talk about:
‧Statutory framework of regulating market misconduct and related offences
‧Enforcement process
‧Scrutiny of major SFC cases in the past 25 years
‧Lessons and insights from these cases


Speaker: Mr Stephen Suen
Speaker: Barrister-At-Law
Speaker: Counsels Chambers


Event Code : ADP033114
Date : 31/03/2014 (Monday)
Time :

09:00am - 09:30am Registration ( tea & coffee)
09:30am - 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 CPT hour recognized by SFC
3 CPD non-core hour recognized by MPFA
(In order to collect full CPT/CPD hours, participants MUST attend the whole course including the question & answer session.)

Fees : 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.