Institute of Compliance Officers webinar: Dealing with Regulators - Handling SFC Investigations and Inspections (27 January 2021)
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.
