eSeminar - CPT Bearing
Updates on SFC Enforcement News (2025 Q4 Series)
Overview
This eSeminar is a recorded session of the 'Updates on SFC Enforcement News (2025 Q4 Series)' webinar held on 26 March 2026.
Mr Jacky Cha unpacks the latest SFC enforcement actions from the recent quarter, highlighting emerging themes in regulatory oversight and key lessons for licensed practitioners. Key topics include the evolving expectations around AML/CFT, fraud and fitness, internal controls, and the handling of regulatory breaches.
Objective
After completing this course, you will be able to:
- Recognise the main areas of regulatory focus and typical issues leading to enforcement actions.
- Identify recent enforcement themes, regulatory focus areas, and emerging risks highlighted by the Securities and Futures Commission (SFC).
- Describe notable enforcement case studies covered in the webinar and explain their implications for market practice, internal controls, and compliance expectations.
Content
- AML/CFT violations
- Internal controls failures
- Senior management accountability
- Fraud and fitness issues
- Market misconduct
- Regulatory cooperation
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
Jacky CHA
Mr Jacky Cha Ho Wa is a Senior Consultant at Messrs. Eddie Lee & Co.
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 and was an independent non-executive director of various listed companies in HK and US.
Mr Cha has been serving as a part-time lecturer teaching Companies Law at the HKUSPACE Community College since September 2022.
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 and was an independent non-executive director of various listed companies in HK and US.
Mr Cha has been serving as a part-time lecturer teaching Companies Law at the HKUSPACE Community College since September 2022.
Details
Code
TEEEC26010201
Venue
ePlatform
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
More
Tags
New
Language
English
Level
Hours
SFC:1.00, PWMA:1.00
Fees
All Member: HK$230
Staff of Corporate Member: HK$230
Non-Member: HK$460
Chinese Securities Association of Hong Kong (HKCSA): HK$320