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CPD/RME Elective

Conflicts of Interest
& Engagement Terms

Presented by
Mr. John Lee,
Adjunct Associate Professor of Law,
The University of Hong Kong

RME Elective: Conflicts of Interest & Engagement Terms
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Code: EVT000000409 Level: Intermediate
Date: 27 September 2023 (Wednesday)
Language: English
Time: 14:30 - 17:45
(Reception starts at 14:00)
Accreditation(s): LSHK 3.0 RME Elective Hours
LSHK 3.0 CPD Points
Venue: Request for Rerun:
Please Contact Us for Details
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Presenter's Profile:
Mr. John Lee

Dr. John Lee is an Adjunct Associate Professor of Law at The University of Hong Kong, responsible for designing and delivering postgraduate law courses on financial crime compliance, anti-money laundering and counter-terrorist financing, and sanctions.  In addition, he is the Head of Regulation and Risk - APAC at an international law firm.  With more than 15 years of experience, he regularly advises partners, lawyers, and business management executives on professional conduct issues and internal risk management matters, such as conflicts of interest, anti-money laundering, anti-bribery/corruption, operational risk management, professional ethics, and data protection/privacy.

Dr. Lee obtained his Bachelor of Business Administration (with First Class honours) and Juris Doctor (with Dean's List honours) from The Chinese University of Hong Kong; and his Doctor of Philosophy (in Laws) from The University of Hong Kong.  He is a fellow and external examiner of the International Compliance Association.

Course Outline:

This three-hour seminar is divided into two parts.

In the first part, the main types of conflicts of interest encountered by lawyers and their firms and sources of conflicts rules will be highlighted.  Through analysing some case scenarios, they seek to demonstrate how the different conflicts rules come into play.  This part will conclude with some practical pointers on how lawyers and their firms can effectively manage conflicts of interest issues in practice.

In the second part, the role and importance of client engagement letters will be explained, together with the key points to consider when drafting these letters.  In addition, the emergence of client-based engagement terms will be discussed, with consideration on how they impact lawyers and their firms in practice, including how lawyers should review and negotiate such terms with their clients.

During this seminar, there will be various interactive exercises and discussions, so to encourage the participants to share their views and experience.

Part 1

  • Introduction to conflicts of interest
  • Sources of standards
  • Practical issues and challenges
  • Conflicts case scenarios

Part 2

  • Introduction to client engagement terms
  • Practical pointers and guidance
  • Client-based engagement terms: Practical exercise

This course is provided by:  Kornerstone Limited
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