The Securities and Futures Commission (“SFC”) has extensive power of investigation. The SFC investigation is an evidence collection process for any possible wrongdoing. As a financial practitioner, it is essential to understand how the SFC conducts the investigation and what should be aware of when handling the investigation.
The seminar examines the financial practitioner’s role in the SFC investigations and shares the practical issues in interacting with SFC investigators.
• How does SFC initiate an investigation?
• SFC investigatory powers and recent case laws
• The SFC investigation process
• Financial practitioner’s roles in SFC investigation
- Written enquiries
- Search operation
• Practical issues in interacting with SFC investigators
Who Should Attend
Directors, responsible officers, managers-in-charge and licensed representatives of licensed corporations, compliance officers and risk managers.
Instructor / Speaker
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts