Dealing with Market Misconduct Tribunal Proceedings

Dealing with Market Misconduct Tribunal Proceedings

Overview

This eSeminar is a recorded session of the "Market Misconduct Tribunal" webinar held on 15 July 2021.

The Market Misconduct Tribunal (“MMT”) conducts civil proceedings to adjudicate cases of market misconduct and breaches of disclosure requirements (as defined under the Securities and Futures Ordinance). The MMT has the power to impose civil sanctions on the wrongdoers, including disgorgement of profits, disqualification orders and cold shoulder orders, which can lead to significant financial and reputational damage.

This eSeminar looked at how MMT proceedings are conducted with the speakers shared their experience in dealing with such proceedings.

Objective

By the end of this eSeminar, participants will be able to know:
- the nature and process of MMT proceedings,
- the wide-range of civil sanctions which the MMT can impose,
- some of the landmark MMT cases, and
- tips on how to handle an MMT proceeding.

Content

1. Composition of the MMT
2. Nature of MMT proceedings
3. Civil sanctions which can be imposed by the MMT
4. Landmark MMT cases
5. Tips on handling an MMT proceeding

Who should attend

Licensees, relevant individuals, in-house counsel & compliance, senior management such as Responsible officers and Executive officers, directors of listed companies and anyone who wants to understand more about MMT proceedings or explore how to handle such proceedings.

Speaker/Course Instructor

Maria SIT
Maria Sit is a partner of Dechert’s Hong Kong office and is its Asia head and global co-leader of Dechert’s White Collar, Compliance and Investigations practice. Previously, she was an in-house counsel at the Securities and Futures Commission. Ms. Sit has expertise in handling joint investigations by a range of regulatory bodies, both in Asia and elsewhere. She was “Highly Commended” in the Financial Times’ Innovative Lawyers Asia Pacific 2020 report. Ms. Sit has also been shortlisted as one of the finalists in the ‘Financial Services Regulatory’ category by IFLR’s Women in Business Law Awards 2020 – Asia.
Natasha SHUM
Natasha Shum is an associate in Dechert’s Hong Kong office. She focuses her practice on complex commercial litigation and regulatory matters. She has substantial experience in matters involving investigations by a range of regulatory bodies. Prior to joining Dechert, Ms. Shum was an associate at another white-shoe law firm and worked in their Hong Kong and New York offices.

Details

Code
TEEEC21001501
Venue
ePlatform
Language
English
Hours
SFC:1.00, PWMA:1.00
Fees
All Member: HK$180
Staff of Corporate Member: HK$180
Non-Member: HK$360
Please choose the language
ENG