Updates on SFC Enforcement News (2025 Q2 & Q3 Series)
概要
This eSeminar is a recorded session of the “Updates on SFC Enforcement News (2025 Q2 & Q3 Series)” webinar held on 3 November 2025.
During this session, Mr Jacky Cha from Messrs. Eddie Lee & Co breaks down the enforcement actions from Q2 to Q3 2025 taken by the SFC, offering a practical lens into how regulatory breaches are being addressed across Hong Kong’s financial sector. Key topics include key developments in AML/CFT violations, internal control failures, senior management accountability and market misconduct.
宗旨
After completing this course, you will be able to:
• Describe the key enforcement themes and regulatory priorities reflected in the SFC’s 2025 Q2 & Q3 enforcement updates.
• Explain major enforcement findings involving AML/CFT violations, internal control deficiencies, and senior management accountability.
• Identify common issues related to fraud, market misconduct, and fitness & properness highlighted in recent cases.
• Summarise important observations regarding regulatory cooperation and cross‑border enforcement developments.
內容
• Key enforcement themes in 2025 Q2–Q3 and what they signal about SFC priorities
• How internal‑control and risk‑management failures occurred across major cases
• What ROs and senior management must do to meet supervisory and AML/CTF obligations
• How system weaknesses, margin lending practices and client‑asset handling create regulatory risk
• What constitutes serious misconduct such as fraud, misappropriation and non‑cooperation
• Practical lessons firms can apply to strengthen governance, controls and documentation
對象
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.