E-seminar on-demand: SFC’s Enforcement Actions against Listed Corporations
Speaker: Sherman Yan
Managing Partner and Head of Litigation & Dispute Resolution of ONC Lawyers
Tackling the misconduct by listed companies remains the top priority of the Securities and Futures Commission (SFC). The SFC seeks to address the listed companies’ misconduct and regulatory concerns using its front-loaded, multi-pronged approach, including suspending the trading of a company’s listed securities (before the start of formal investigation).
With the SFC's continuing focus on high impact cases, we anticipate more vigorous enforcement against and penalties on listed companies and their directors in 2020 and beyond.
According to the enforcement statistics of the SFC, the following is the main areas of investigations by the SFC:
corporate governance and breach of directors’ duties
In the seminar, the speaker will analyze the latest cases of the SFC to illustrate the principles and discuss about ways to prevent them from occurring.
Date: it is on-demand. You may view it anytime at your convenience.
Duration: 2 hours Fee: $400
Language: Cantonese Level: Intermediate
CPD points for accountants and company secretaries: 2 CPD points (No event accreditation has been applied as participants may get CPD points of their professional institutes pursuant to the relevant CPD rules.)
CPD points for lawyers: 2 CPD points awarded by the Law Society
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Take the Quiz. In order to obtain the attendance certificate, you are required to answer 10 questions at the end of the course and have at least 7 questions answered correctly. If you pass the test, you will receive the attendance certificate by email within one month. If you fail, you may take Quiz B:
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