Regulatory Update Series

Dealing with Dawn Raids by Government Authorities

New Seminar


Surprise inspections by governmental authorities are on the rise. Licensed intermediaries and registered institutions may be on the receiving end and obstructing a lawful raid is a criminal offence. Therefore, front line staff such as Reception and Security, through to the IT team, business units, legal and compliance staff and management, need to know how to react and what information to provide.

Drawing on practical experience, the speaker will provide a step-by-step approach, as well as mentioning relevant rights and powers, to deal with a raid by the Government authorities.


By the end of the seminar, participants will gain a better understanding of the scope of the Government authorities’ investigative powers and how to deal with “dawn raids’.


- Investigative powers of the Government authorities
- What is a dawn raid and how to deal with them
- Rights of a suspect and witness
- Legal professional privilege
- Preventing the triggering of an investigation

Who should attend

Senior Management, Responsible officers, Executive officers, Legal and Compliance staff and any licensed holders.

Speaker/Course Instructor

Dominic WAI
Before joining the legal profession, Dominic has worked in the banking sector and as well as in the Independent Commission Against Corruption (ICAC). Dominic’s practice focuses on advising clients on matters relating to anti-corruption, white-collar crime, law enforcement, regulatory and compliance matters in Hong Kong, including advice on anti-money laundering. He also handles cases involving corporate litigation, shareholders’ disputes and insolvency matters, defamation cases, domestic and international arbitration cases, cybersecurity, data security and privacy law issues, competition law matters, e-Discovery and forensic investigation issues as well as property litigation.


Date & Time
Thursday, 19 Dec 2019 (12:20PM - 1:20PM)
HKSI Institute Training Centre
New, Seminar
SFC:1.00, PWMA:1.00