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Mr. Stephen Suen
Barrister-at-Law, Justice Chambers
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Presenter's Profile:
Mr. Stephen Suen

Stephen Suen, formerly a Director of Enforcement of The Securities and Futures Commission (SFC), is now a practicing barrister-at-law specializing in the following areas of litigation and advisory work:

  • Contraventions of Securities and Futures Ordinance (SFO), Takeovers Code, Listing Rules, Code of Conduct for Persons Licensed by or Registered with the SFC
  • Market misconduct e.g. market manipulation, insider dealing, disclosure of false/misleading information
  • White collar crimes, money laundering, fraud

During the 30 years from 1983 to 2013, Mr. Suen has four rewarding yet exciting professional careers in both public and private sectors.  Mr. Suen started his first career as a Police Inspector with Royal Hong Kong Police Force in 1983.  During the seven years with the Police force (the last three years with Commercial Crime Bureau (CCB)), Mr. Suen participated in a number of high profile and complex commercial crime cases.  These cases earned him commendations from the Police and High Court Judge.

In 1989, Mr. Suen joined the newly set up SFC to enforce securities and futures laws.  In 1999 Mr. Suen was promoted to Director of Enforcement.  He was responsible for leading and supervising teams of accountants and lawyers in the investigation and prosecution of insider dealing, market manipulation, intermediaries' misconduct, and referral of fraud and corruption cases to CCB and ICAC respectively.

In 2007 Mr. Suen joined a Hong Kong listed company as its executive director and deputy managing director.  Mr. Suen was also a Responsible Officer (RO) of four licensed corporations in the listed company.  He was responsible for the supervision of seven different types of regulated activities (RA).  These RA included dealing and advising in both securities and futures contracts, margin financing, corporate finance and assets management.

Mr. Suen has accumulated altogether 30 years of solid and practical experience and knowledge in the enforcement of SFO and commercial crime investigations.  Mr. Suen's specialties include advising on investigation and prosecution vis-a-vis insider dealing, market manipulation, intermediaries' disciplinary proceedings, Code of Conduct, Listing Rules, Takeovers Code and commercial crimes.

Mr. Suen's professional qualifications include Postgraduate Certificate in Laws (PCLL), Juris Doctor, Master in Accountancy, and Bachelor of Social Science (Economics).  Mr. Suen is a member of Hong Kong Bar Association, Hong Kong Institute of Certificate Public Accountants and Hong Kong Securities and Investment Institute.

Past CPD Courses
Course: SFC Case Studies:
Preventing the Risk of Market Misconduct Effectively
SFC Case Studies: Preventing the Risk of Market Misconduct Effectively
Presenter(s): Mr. Stephen Suen
Code:
EVT000000025
Date: 20 September 2014 (Saturday) (Amended)
Time: 14:30 - 17:45
Venue: 9th Floor, The Chinese Club Building, Central, Hong Kong
Language: English
Accreditation(s): LSHK 3.0 CPD Points
SFC 3.0 CPT Hours
Course: Scrutiny of SFC Landmark Cases in the Past 26 Years
(1989 to 2015) - Invaluable Lessons and Insights Distilled
from These Cases
*
Scrutiny of SFC Landmark Cases in the Past 26 Years (1989 to 2015) - Invaluable Lessons and Insights Distilled from These Cases
Presenter(s): Mr. Stephen Suen
Code:
EVT000000054
Date: 21 April 2015 (Tuesday)
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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