Institute of Compliance Officers webinar: Dealing with Regulators - Handling SFC Investigations and Inspections (27 January 2021)
On 27 January 2021, Ms. Annie Chan, our Managing Director of Forensic and Regulatory Compliance Services of Mazars in Hong Kong shared her expertise at the webinar: Dealing with Regulators - Handling SFC Investigations and Inspections, organized by the Institute of Compliance Officers.
Speaking alongside Mr. Sherman Yan, the Managing Partner and Head of Litigation & Dispute Resolution of ONC Lawyers, they explored SFC’s investigative powers and shared their extensive and practical experience in cooperating with SFC during inspections. SFC disciplinary fining guidelines and considerations were also discussed during the webinar. They also shared various real-life cases and provided insights on how to develop strategy for dealing with regulators.
