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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.

DISCLAIMER
Speakers' presentations at this event are intended for educational purposes only and do not replace independent professional judgment. Statements of fact and opinions expressed during this event are those of the speakers and participants and, unless expressly stated to the contrary, are not the opinion or position of the Hong Kong General Chamber of Commerce, its members, or its committees. The Chamber does not endorse or approve, and assumes no responsibility for, the content, accuracy or completeness of the information presented. Attendees should note that, with the approval of speakers, this event may be recorded, and possibly published on the Chamber's website in audio and/or video formats without further notice.

Recording, duplication or distribution of the contents of the online event is prohibited without prior written permission from the Chamber.

Speaker(s)

Emily Li, Partner, Stephenson Harwood

Emily is a partner in our Hong Kong office with extensive experience in commercial litigation and dispute resolutions, with a focus on contentious liquidation and insolvency matters, international trade finance disputes, and regulatory matters.

Language

Cantonese

Date and Time

2023/02/15 14:00 to 16:30

Venue

Chamber Theatre, 22/F United Centre

Media

Closed to media

Enquiries

Kelly Zhao
Tel: 28231293
Email: kellyzhao@chamber.org.hk

Fee

Members @ HK$380 / Non-Members @ HK$770
+$50 for booking offline
This event accepts Chamber Coupon (terms and conditions)
Members enjoy 30% discount with BOC HKGCC VISA Card

Notes

- Bookings are only confirmed upon receipt of payment, on a first come first served basis.
- Booking transfer is allowed for corporate members with advanced notice, walk-ins are normally not accepted.
- The Chamber reserves the right to decline any booking or cancel the event. In such case, a full refund of the participation fee will be issued.
- No refund will be made for last minute cancellations or no-shows. If the booking is cancelled at least 7 days before the event, and in such cases the refund will be subjected to a 10% administration fee, or HK$100 deduction, whichever is higher.
- Members paying with their BOC HKGCC Visa Card will enjoy a 30% discount on their reservation. The discount is only applicable to the card holder, and does not extend to their guests. The discount cannot be used in conjunction with Chamber Coupons.
- A $50 handling fee per person will be charged for all offline bookings (e.g. fax, e-mail, post) for all Chamber events. Go online today by downloading our app or registering on the HKGCC website to save the environment and money.
- Priority is given to corporate members. The decision to accept or decline any booking shall be at sole discretion of the Chamber.