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Course Details

(Webinar via Zoom) Practical aspects of SFC Investigation
Donald Lai, Manager - Enforcement Division (Investigation), Securities and Futures Commission
Date: 10 December 2020 (Thursday)
Time: 2:30pm - 5:45pm
Level: I (Intermediate)
For delegates who have prior knowledge of the subject area
Language: English
Fee: HK$ 1,700
Accreditation: 3 CPD pts (Accredited by The Law Society of Hong Kong)
Ref: L20SF13
Venue: Webinar Course
Presenter's Biography:

Donald is a solicitor, certified public accountant and chartered company secretary. He spent most of his career in the SFC, starting in the Intermediaries Supervision Department in 2006 and rejoined the Enforcement Division in 2014. In his capacity as an investigator in the Enforcement Division, Donald handles insider dealing and market misconducts investigations. After earning his first degree in business administration in Canada, Donald obtained a part-time LLB degree with first-class honours at the City University of Hong Kong. In 2017, Donald completed the LLM program in Corporate and Financial Laws and graduated with distinction from the University of Hong Kong. Donald specialises in securities laws and is a contributor to the 2018 and 2019 editions of the SFO: Commentary and Annotations.
 
Objective:

This seminar introduces the legal framework of SFC investigations and reviews recent case laws on SFC investigatory powers. The SFC investigation is an evidence collection process. Lawyers have a crucial role to play in this process to protect clients' interests. The seminar examines the lawyers' role in the SFC investigations and shares the practical issues in interacting with SFC investigators.
 
Outline:

  • How does SFC initiate an investigation?

  • SFC investigatory powers and recent case laws

  • The SFC investigation process

  • Lawyers' roles in SFC investigation

    • Written enquiries

    • Interview

    • Search operation

  • Practical issues in interacting with SFC investigators

 
Category: Regulatory & SFC Compliance
Course Booking Terms & Conditions

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Upcoming Courses
10 December 2020 (Thu)
2:30pm - 5:45pm
(Webinar via Zoom) Practical aspects of SFC Investigation
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11 December 2020 (Fri)
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