SFC latest enforcement trends on Hong Kong listed companies

CPT/CE Eligibility (A Recognized CPT Provider)

CPT hour(s) (Ethics/Compliance)	1
PL (CE) hour(s)	1
RBV CPD hour(s)	1

EVENT DETAILS

(CODE: 220329LU-CEX)

As revealed in the Securities and Futures Commission (SFC) enforcement reports for 2Q2021 and 3Q2021, SFC has been very active in carrying out its enforcement duties amid of the COVID outbreak.  The enforcement initiatives could range from actions against individuals and corporates on market misconduct, internal control deficiency, failure to comply with the AML/CFT requirements and etc.  It is also not uncommon for SFC to take enforcement actions jointly with other government agencies both locally and overseas, e.g. the Police, ICAC in Hong Kong and CSRC in China.

Speakers from SFC will share with us in this webinar the latest enforcement trends on Hong Kong listed companies including:

• Latest trends in corporate fraud and corporate misconduct
• SFC’s strategies to investigate corporate fraud and corporate misconduct
• Sharing on cases involving Hong Kong listed companies

About the Speakers

Mr. Kenneth Luk
Senior Director, Enforcement
SFC

Mr. Kenneth Luk is a Senior Director of the Enforcement Division of the Securities and Futures Commission.  He joined the SFC in 1998 and has 24 years of experience in securities regulation and enforcement.  He currently heads a team of investigators specializing in corporate fraud and misconduct investigations. 

Mr. Charles Chan
Associate Director, Enforcement
SFC

Mr. Charles Chan is an Associate Director of the Enforcement Division of the Securities and Futures Commission. He joined the SFC in 2014 and currently specializes in corporate fraud and misconduct investigations.  Mr. Chan started his career as an auditor and has over 20 years of experience in the financial sector, including review of IPO listing applications when he worked in the HKEx. 

Rating General
Material presented will be basic and of interest to a general audience having no background in the area. 

CFA Societies Global Passport Program

CFA Society Hong Kong has participated in the CFA Societies Global Passport Program which allows CFA society members to enjoy local society member rate at selected events like this luncheon.  Members of non-CFA Society Hong Kong CFA Institute societies qualify to attend this event at CFA Society Hong Kong member rates.  Please contact CFA Society Hong Kong at event@cfahk.org to register

Other Details:

• This Webinar is a complimentary event for all members.
• Upon registration on the Zoom platform, each registrant will be given a unique link for each session, please do not share the link with others.
• Members will be entitled to receive CPT Attendance Letter at NO extra costs after attending the FULL webinar. Please see below for further details.
• To qualify for CPT/CE hours, all participants must attend the full webinar. After the webinar, Society staff will verify participants’ check-in and check-out time from the registration system for the purpose of issuing CPT Attendance Letters. No pro-rata credit hours will be awarded.
• CFA Societies Global Passport Program Eligible.
• The event will be conducted in English.
• The webinar link and email confirmation will be sent to registrant upon successful online registration. 
• A webinar reminder will be sent out 1 day before the event. If you have not received the email confirmation and reminder, it is the delegate’s responsibility to contact CFA Society Hong Kong to confirm their place.
• The webinar will be conducted on Zoom.
• Please log in the webinar link 10 mins in advance of the session start time to allow some time to solve the technical issues (if any) and the webinar will start promptly at 12:30 PM.
• For attendance-taking purpose, participants’ names and company names (if any) may be given to the speaker of this event.
• CFA Society Hong Kong will closely monitor and assess the ongoing situation of COVID-19 in the community. Should there be any changes to the event dates and other arrangements, we will notify participants via SMS and/or email.  Notices will also be posted on Society’s website.  Please stay alert with our notifications.
• The event organizers reserve the right to change the format, date or speakers of the event due to unforeseen circumstances without prior notice.
• In case of dispute, the decision of CFA Society Hong Kong is final, and no further correspondences will be entertained. 
• *For Guest/ non-member/ Candidate, $150 is required for the CPT Attendance Letter, please click the box below for CPT attendnace letter. You will be directed to Paypal to complete the order. Please submit your application before the registration deadline (15 Mar).
• Please note that no request for an attendance letter will be processed after the event date & registration deadline.