Our Managing Director Ms Annie Chan was invited by the Hong Kong Securities & Futures Professionals Association to conduct a CPT on-line training on “How to Work with Regulators in On-site Inspection and Formal Investigation”.
The webinar was successfully held on 20 May 2022. Ms Chan shared her experiences and insights about the Securities and Futures Ordinance and the related regulations and practice regarding on-site inspections and formal investigations as well as the disciplinary fining guidelines of the Securities and Futures Commission (‘SFC’) to over 800 attendees. Some recent SFC enforcement cases were also discussed to explain the disciplinary actions taken by the SFC and raised awareness on the types of common deficiencies of licensed corporations.
