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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 disclosure

  • corporate governance and breach of directors’ duties

  • insider dealing


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

Step 1

Please press the green 'Payment' button and make payment by credit card.  You will get the password after payment.

You may then click here to download the handouts:

Step 2


Please enter your name to be printed on the attendance certificate before you start viewing.  Please view the entire video (the duration of viewing and other information may be tracked). 


After you finish viewing, please take the quiz immediately, so we could timestamp the finish time.  

Step 3

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:


Step 4

Please fill in the evaluation form after completing the course.

Remark: You will receive two auto-generated emails immediately upon payment for an e-seminar.  The "Thanks" email contains the password which will enable you to have access to the video and the course materials.  If you do not receive that email, please e-mail to "" or whatsapp: (852) 9230 3525 to request for the password.

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