[Webinar] Updates on SFC Enforcement News (2025 Q4 Series)
概要
This webinar provides an in-depth overview of SFC enforcement news in Q4 2025. It covers recent enforcement actions and offers insights into the SFC’s approach to addressing market misconduct and the conduct of licensed persons and corporations.
Join us to explore these critical areas and gain a deeper understanding of the regulator's enforcement strategies.
內容
Key topics include but not limited to:
• AML/CFT violations
• Internal controls failures
• Senior management accountability
• Fraud and fitness issues
• Market misconduct
• Regulatory cooperation
對象
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.
導師/講者
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.