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The Profectional Newsletters
8 November 2018

SFC Investigation #

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)
Accreditations: LSHK 3.0 CPD Points
SFC 3.0 CPT Hours
Venue: Kornerstone Institute
15/F, Hip Shing Hong Centre
55 Des Voeux Road Central
Central, Hong Kong
Admission: Standard Fee: HK$1,780.00
Advanced Booking: HK$1,480.00
(on or before 9 November 2018)

Please call 2116 3328 for details
and Group Discount
This course has been accredited by the Law Society of Hong Kong
for 3 CPD Points, discount ends tomorrow, register now!
Printable Course Pamphlet and Registration Form Download: Online Course Registration:
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and Registration Form
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this Course Online
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

10% Off Special Discount: Enroll any 3 or more courses | Register a group of 3 or more
Other CPD Courses
November, 2018
Course: The Changing Global Landscape of International
Tax Co-operation: BEPS and the Trade/Investment
Challenges
#
The Changing Global Landscape of International Tax Co-operation: BEPS and the Trade/Investment Challenges
Presenter(s): Prof. Julien Chaisse
Code:
EVT000000256
Date: To be confirmed
Time: To be confirmed
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
Admission: Standard Fee: HK$1,780.00
Advanced Booking: HK$1,480.00
(until further notice)
December, 2018
Course: Decision-Making Procedures: Getting Them Right
(and What to Do When They Go Wrong)
#

Last Chance, Register Now!
Decision-Making Procedures: Getting Them Right (and What to Do When They Go Wrong)
Presenter(s): Dr. Stephen Thomson
Code:
EVT000000266
Date: 14 December 2018 (Friday) (Amended)
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
Admission: Standard Fee: HK$1,780.00
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* Courses supported by:  Kornerstone Limited
# Courses provided by: 
+ Courses supported by:  CEDR Asia Pacific Limited
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