[In-person] Regulatory Insight – Power of Investigation and Prosecution of the SFC
This course introduces regulatory role and power of SFC during its investigation and prosecution process to enable the participants to gain a better understanding about the work of SFC.
1. Structure of Enforcement Division of the SFC
2. Investigation power of the SFC under Securities and Futures Ordinance
3. An overview of market malpractice and relevant ordinances
4. Other crimes related to market malpractice
5. An overview of SFC Code of Conduct
6. Market malpractice case sharing
Who should attend
This course is primarily targeted to executives and supervisors of entities that are licensed / registered for various SFC regulated activities, internal / external auditors, compliance officers and internal control officers.
Prior to joining the financial industry, he was a manager of the Enforcement Division of the Securities & Futures Commission. Prior to that, Mr. Yuen was a senior inspector with the Royal Hong Kong Police Force.