Hong Kong Securities Enforcement Update – Practical Knowledge and Applied Practices (Hybrid-Physical Attendance)

  • Thursday 06 Jul 2023

  • 4.00 pm – 5.30 pm

  • English

  • HKCGI: 3/F Hong Kong Diamond Exchange Building, 8 Duddell Street, Central, Hong Kong (This page is made for physical session. If you wish to enrol in the online session, please scroll down for the registration link.)

  • HKCGI Member, Graduate, Student, Affiliated Person & Non-Member


Mr Jimmy Chan, Partner and Head of Financial Regulation, Jingtian & Gongcheng LLP


Hong Kong financial regulators, particularly the SFC, have become increasingly active in the last few years.  This seminar will provide an introduction to Hong Kong securities enforcement – including the powers of securities regulators, recent trends in securities enforcement, and how to deal with securities investigation. The approach adopted is to provide practical knowledge and applied practices from case studies to help directors, and senior management, including company secretaries and governance professionals, as trusted advisers to chairpersons and boards.

Course outline:

  • Hong Kong financial regulatory landscape
  • HKEx’s enforcement proceedings
  • SFC’s enforcement trend
  • Enforcement powers and sanctions of the SFC
  • How to deal with SFC investigations?
  • Cross-border securities investigations

This is the physical session. If you wish to enrol in the online session, please click HERE.

Remarks on this Physical Session:

  • Physical seats are limited and shall be taken on first-come first served basis. Registration will be closed on 4 July 2023 at 5.00pm.
  • Once enrolment in the physical session is confirmed by the Institute, requests to change to online session will not be entertained.
  • Physical attendance is subject to the weather condition at the time of the seminar. The Institute reserves the right to convert enrolment in the physical session into online session.

Level: Intermediate

Speaker's bio:
Mr Jimmy Chan

Seat guarantee will only be given to HKCGI Fellows and/or Practitioner’s Endorsement (PE) holders if registered 10 clear working days with payment prior to the date of the seminar.

Got Questions?

Visit our FAQs or contact the Professional Development Section: 2881 6177 or email: cpd@hkcgi.org.hk

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