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CPD/CPT Course:
SFC
Investigation

Presented by
Ms Michelle C.Y. Dou,
Barrister-at-Law,
Certified Public Accountant (CPA),
Cheng Huan Q.C., S.C.'s Chambers,
Former Senior Associate,
PricewaterhouseCoopers
(Financial Services Stream),
Former Compliance Manager,
Former Internal Audit Vice President,
a Listed Financial Institution Regulated
by the Securities and Futures
Commission (SFC)

SFC Investigation
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Code: EVT000000272 Level: Intermediate
Date: 23 November 2018 (Friday) Language: English
Time: 14:30 - 17:45
(Reception starts at 14:00)
Accreditation(s): LSHK 3.0 CPD Points
SFC 3.0 CPT Hours
Venue: Request for Rerun:
Please Contact Us for Details
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Presenter's Profile:
Ms Michelle C.Y. Dou

Ms. Dou is a practicing Barrister-at-Law and a Certified Public Accountant (CPA) at Cheng Huan Q.C., S.C.’s Chambers.

Ms. Dou has obtained her qualification of Certified Public Accountant (CPA) in PricewaterhouseCoopers (Financial Services Stream).  She has also obtained her qualification of Barrister-at-law after serving her pupillage at Cheng Huan Q.C., S.C.’s Chambers.

Ms. Dou has worked in the financial markets for years with experience in dealing with clients which are financial institutions.  She has also worked as the Compliance Manager and Internal Audit Vice President in financial institutions which are listed on the Hong Kong Stock Exchange and regulated by the Securities and Futures Commission (SFC).

Ms. Dou has experience in dealing with:

  • inquiries arising from:
    • Securities and Futures Ordinance (Cap.571); and
    • Companies Ordinance (Cap.622);
  • cases involving:
    • money laundering;
    • financial market fraud;
    • corruption;
    • directors and shareholders’ rights;
    • contract; and
    • divorce (financial provision).

Ms. Dou has also appeared in the High Court for her client, arguing issues relating to directors and shareholders’ rights arising from the Companies Ordinance (Cap.622).

Course Outline:

  • The SFC’s powers to require information and powers of investigation
  • The key provisions in relation to the SFC’s powers to require information from listed corporations
  • The key provisions in relation to the SFC’s powers to require information from intermediaries and their associated entities
  • The key provisions in relation to the SFC’s powers to require information relating to transactions
  • The key provisions in relation to all person approached by the SFC for SFC’s investigations
  • The key provisions in relation to the destruction of documents required by the SFC or for the SFC’s investigations
  • Consequences of the violation of any provision and misconduct - Disciplinary Action and Deeming provision by the SFC
  • Consequences of the violation of any provision and misconduct - Civil proceedings under Part XIII before the Market Misconduct Tribunal (MMT) instituted by the SFC
    1. Examples of market misconducts
    2. Components of the Market Misconduct Tribunal
    3. Functions of the Market Misconduct Tribunal in relation to market misconduct proceedings
    4. Functions of the Market Misconduct Tribunal in relation to disclosure proceedings
    5. How market misconduct proceedings are instituted by the SFC
    6. How disclosure proceedings in relation to the requirement for listed corporations to disclose inside information are instituted by the SFC
    7. Market misconduct proceedings vs. Criminal proceedings - mutually exclusive?
    8. Every sitting of the Market Misconduct Tribunal is generally held in public
    9. Procedures of the sitting of the Market Misconduct Tribunal
    10. Orders to be made by the Market Misconduct Tribunal in relation to market misconduct proceedings
    11. Orders to be made by the Market Misconduct Tribunal in relation to disclosure proceedings
    12. Options available if you are not satisfied with the results of the market misconduct proceedings and/or disclosure proceedings
  • Consequences of the violation of any provision and misconduct - Criminal prosecution under Part XIV, either brought on indictment by the Secretary for Justice or summarily by the SFC [Cap.571 - Securities and Futures Ordinance (SFO) - s.388]
  • Consequences of the violation of any provision and misconduct - Civil proceedings for remedies provided under SFO s.281 and s.305
  • Consequences of the violation of any provision and misconduct - Civil proceedings for remedies provided under SFO s.213

This course is provided by:  Kornerstone Limited
Relevant CPD Courses
Course: SFC Investigation # SFC Investigation
Presenter(s): Ms Michelle C.Y. Dou
Code:
EVT000000272
Date: 23 November 2018 (Friday)
Time: 14:30 - 17:45
Venue: Kornerstone Institute, 15/F, Hip Shing Hong Centre,
55 Des Voeux Road Central, Central, Hong Kong
Language: English
Accreditation(s): LSHK 3.0 CPD Points
SFC 3.0 CPT Hours
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