As a statutory body, the work of Securities and Futures Commission (SFC) is defined and governed by the Securities and Futures Ordinance, which sets out SFC's powers, roles and responsibilities. Pursuant to section 182 of the Securities and Futures Ordinance, Cap.571, the SFC may investigate a wide range of misconduct including any offences under the Ordinance; defalcation, fraud, misfeasance or other misconduct in connection with dealing in or managing investment; market misconduct; breach of a disclosure requirement, etc. Therefore, it is essential to understand the approaches and investigatory powers of the SFC.
Outline: • Overview of the Securities and Futures Ordinance • Investigatory powers of the SFC • SFC interviews • Share of information by SFC with other regulators • Cooperate or not to cooperate
Who should attend: Directors, in-house counsels, compliance officers and responsible officers
2.5 Law Society CPD point has been applied for (to be confirmed).
Coronavirus Containment Measure: - To prevent the spread of Covid-19, we kindly ask that all event participants wear a mask when attending the event. - Attendees, who feel unwell are advised against in-person attendance at the Chamber. - To prevent the spread of Covid-19, food and beverages will not be provided during the event. |