Event Information
Event code CKTL24071001 Event Flyer Closed Language Cantonese
Event name Joint MBIG-FSIG cocktail reception: Regulatory investigation of and enforcement against listed companies and their officers between Mainland China and Hong Kong – Principles and case studies
CPD hours 1.50
Competency Corporate Governance,Financial Services IG,Mainland Business IG Sub-Competency Compliance with legal & regulatory requirements and CG best practices
Level 1 - Foundation
Contact Mr. Marco Yip at marcoyip@hkicpa.org.hk / 2287 7009 for event information or enrolment@hkicpa.org.hk / 2287 7381 for payment & enrolment status
Join us for an informative and engaging cocktail reception!
At this event, we are honoured to have Mr. Jimmy Chan, formerly Director of Enforcement and Head of International and Policy of Securities and Futures Commission (SFC) and currently Partner and Head of Financial Regulation, Jingtian & Gongcheng, as our guest speaker. 
With over 20 years of experience in handling securities regulatory investigations, Mr. Chan will share his valuable insights on a wide range of topics including:
  • Brief overview of HKEX’s enforcement proceedings
  • Recent trends in SFC enforcement 
  • Actions taken against listed companies and directors
  • Types of enforcement proceedings and sanctions
  • Strategies for dealing with SFC investigations
  • Issues around secrecy obligations 
  • Handling cross-border investigations (e.g. Mainland-Hong Kong, US-Hong Kong)
Event Date
Date / Time CPD hours Venue
10 Jul 2024 (18:30 - 20:30) 1.50 Hong Kong Institute of CPAs
27/F, Wu Chung House, 213 Queen's Road East, Wanchai, Hong Kong
Fee Information
Type Fee (HKD)
Enrolment Member 240.00
Student 240.00
Non-member 410.00
Enrolment Date
Enrolment from 14 Jun 2024 (11:00) to 10 Jul 2024 (16:00)
The enrolment has closed.
Full Hot and limited seat Promotion
Closed e-Learning Continuing Education Fund
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