Overview
This eSeminar is a recorded session of the “Updates on SFC Enforcement News (2025 Q1 Series)" webinar held on 25 June 2025.
During this session, Mr Jacky Cha from Messrs. Eddie Lee & Co provides an in-depth overview of recent enforcement actions and the SFC’s strategies addressing market misconduct. Key topics include control failures, duties of senior management, and breaches of secrecy provisions.
Objective
After completing this course, you will be able to:
• Describe the key enforcement themes and regulatory focuses highlighted in the SFC’s 2025 Q1 enforcement updates.
• Explain how governance and oversight failures may give rise to regulatory liability for Responsible Officers and senior management
• Identify common regulatory issues relating to fitness & properness, fraud, unlicensed activities, and breaches of secrecy provisions.
• Summarise important observations and reminders arising from recent enforcement news to support awareness of compliance expectations.
Content Highlight
• What recent SFC enforcement actions reveal about regulatory priorities in Hong Kong
• How Responsible Officers and senior management may incur liability for governance and oversight failures
• How “fitness and properness” issues arise in cases involving fraud, finfluencers, and unlicensed activities
• How internal‑control and risk‑management deficiencies lead to significant penalties for licensed corporations and banks
• What misconduct trends were identified in margin financing, product selling practices and client suitability
• How breaches of the SFC secrecy provision occur and what obligations legal and industry professionals must observe
• What key compliance lessons firms and intermediaries should take away from the latest enforcement cases
Who Should Attend
Senior management including directors, managers-in-charge, responsible officers, legal/compliance officers, risk managers and industry professionals who are interested in this topic.
Instructor / Speaker
Jacky CHA
Mr Cha has over 7 years of experience in the legal profession in Hong Kong. Mr Cha was admitted as a solicitor of the High Court of Hong Kong in October 2018. Mr Cha was accredited as a General Mediator by the Hong Kong Mediation Accreditation Association Limited and as an Accredited Trust Practitioner by the Hong Kong Trustees’ Association.
Mr Cha obtained a Postgraduate Certificate in Laws, a Juris Doctor degree and a Bachelor of Arts degree all from The Chinese University of Hong Kong. Mr Cha is pursuing a Doctoral degree in Business Administration at the Swiss Business School.
On the corporate side, Mr Cha is and was an independent non-executive director of various listed companies in HK and US.
Mr Cha has been serving as a part-time lecturer teaching Companies Law at the HKUSPACE Community College since September 2022.
Administrative Details
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
...More
Chinese Securities Association of Hong Kong (HKCSA): HK$480
Non-Member: HK$690
Staff of Corporate Member: HK$345