Compliance

[Webinar] From Panic to Preparedness: Managing Dawn Raids in Hong Kong

Overview

The frequency of surprise inspections by government authorities is on the rise, making it critical for licensed intermediaries and registered institutions to understand that obstructing a lawful raid is a criminal offence.

In this session, the speaker will draw on his practical experience to provide valuable insights into handling dawn raids by government authorities. Participants will learn how to respond effectively, what information to provide, and how to ensure they are well-prepared to manage the situations.

Content Highlight

• Legal basis for dawn raids in Hong Kong
• What to expect during a dawn raid
• Rights and obligations of companies/individuals
• Common mistakes during dawn raids
• Best practices for preparedness
• Recent trends and case sharing

Who Should Attend

Senior management, including directors, responsible officers, managers-in-charge, as well as legal and compliance staff, licensed individuals, reception and security staff, IT teams, and other personnel interested in this topic.

Instructor / Speaker

Dominic WAI

Before joining the legal profession, Dominic has worked in the banking sector and as well as in the Independent Commission Against Corruption (ICAC). Dominic’s practice focuses on advising clients on matters relating to anti-corruption, white-collar crime, law enforcement, regulatory and compliance matters in Hong Kong, including advice on anti-money laundering. He also handles cases involving corporate litigation, shareholders’ disputes and insolvency matters, defamation cases, domestic and international arbitration cases, cybersecurity, data security and privacy law issues, competition law matters, e-Discovery and forensic investigation issues as well as property litigation.

Administrative Details

Code
TSBCO25002501
Date & Time
Thursday, 15 May 2025 (12:20 PM - 01:20 PM)
Venue
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
...More
Language
English
Hours
SFC:1.00, PWMA:1.00
Fees
All Member: HK$290
Chinese Securities Association of Hong Kong (HKCSA): HK$405
HKSI Institute Staff: Free
Honorary Fellow Member: Free
Non-Member: HK$580
Staff of Corporate Member: HK$290
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