SFC Enforcement Trend and Regulatory Update 2020

The ACC Hong Kong Board of Directors invites you to the following presentation, hosted by Clifford Chance.

The speakers will give an overview of the recent SFC enforcement trend, issues concerning whistleblowing and regulatory updates (data storage, etc). The presentation will be particularly relevant for those in-house counsel who work in the financial industry.

SPEAKERS:

Rocky Mui 

Rocky is a partner in the Funds and Investment Management group in Clifford Chance Hong Kong office. He specialises in licensing and regulatory advice, fund establishment, authorisation of funds, PRC investment programs (RQFII/QFII/Stock Connect/Bond Connect/CIBM Direct Access), cross-border mergers & acquisitions and general corporate related work. Recent highlighted deals include advising various clients on cryptocurrency and blockchain projects and ICO advisory works.

Jimmy Chan

Jimmy is a partner in the Litigation and Dispute Resolution group in Clifford Chance Hong Kong office. Prior to joining Clifford Chance, Jimmy spent 14 years with the Hong Kong Securities and Futures Commission (SFC), where he served as a Director and Head of International and Policy of the Enforcement Division. He has substantial experience in SFC disciplinary proceedings involving financial intermediaries, international cross-border securities investigations and listed company investigations. He is a contributing editor of Sweet & Maxwell’s Securities and Futures Ordinance: Commentary and Annotations.