Compliance
[Webinar] Updates on SFC Enforcement News (2025 Q1 Series)
Overview
This webinar provides an in-depth overview of SFC enforcement news in 2025. It covers recent enforcement actions and offers insights into the SFC's approach to addressing market misconduct.
Join us to explore these critical areas and gain a deeper understanding of the regulator's enforcement strategies.
Content
Key topics include but not limited to:
• Anti-money laundering and counter-financing of terrorism (AML/CFT)
• Failures in internal controls & risk management
• Duties of Responsible Officers and senior management
• Issues related to fitness and properness, fraud, and unlicensed activities
• Secrecy-Provision Breach
Who should attend
This webinar aims to provide insights and reminders to senior management including directors, managers-in-charge, responsible officers, legal/compliance officers, risk managers and industry professionals who are interested in this topic.
Speaker/Course Instructor
Mr Cha has over 7 years of experience in the legal profession in Hong Kong. Mr Cha was admitted as a solicitor of the High Court of Hong Kong in October 2018. Mr Cha was accredited as a General Mediator by the Hong Kong Mediation Accreditation Association Limited and as an Accredited Trust Practitioner by the Hong Kong Trustees’ Association.
Mr Cha obtained a Postgraduate Certificate in Laws, a Juris Doctor degree and a Bachelor of Arts degree all from The Chinese University of Hong Kong. Mr Cha is pursuing a Doctoral degree in Business Administration at the Swiss Business School.
On the corporate side, Mr Cha is an independent non-executive director of WK Group (Holdings) Limited (stock code: 2535.HK) and Skyline Builders Group Holding Ltd (NASDAQ: SKBL) and was an independent non-executive director of Vision International Holdings Ltd (currently known as Ficus Technology Holdings Limited) (stock code: 8107.HK) and China Oil Gangran Energy Group Holdings Limited (currently known as Century Energy International Holdings Limited) (stock code: 8132.HK).
Mr Cha has been serving as a part-time lecturer at the HKUSPACE Community College since September 2022.