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Dealing with Regulatory and Law Enforcement Agencies Investigations

  • 15 Jul 2015
  • 12:30 PM - 2:00 PM
  • Kennedys, 11/F, The Hong Kong Club Building, 3A Chater Road, Central
  • 0


Registration is closed

The HKCCA’s Executive Committee invites you to the following presentation, hosted by Kennedys.

Food and drinks will be provided. 1 Law Society of Hong Kong CPD point has been applied for.  New York and California Approved Jurisdiction policy may apply.

TOPIC: Dealing with regulatory and law enforcement agencies investigations

A practical overview on investigations by financial industry regulators and law enforcement agencies, including the Securities and Futures Commission, the Hong Kong Monetary Authority, the Independent Commission Against Corruption and the Commercial Crime Bureau of the Hong Kong Police.  Topics covered would include:

Investigation powers of regulators and law enforcement agencies;

Dealing with document production requests, including;

  • the differences between regulatory production notices and search warrants
  • practical issues in collating documents sought by regulators and law enforcement agencies
  • secrecy issues
  • assertions of legal professional privilege

Dealing with requests for interviews or written answers to questions, including;

  • differences between being a “suspect” and “witness”
  • third party confidentiality issues;
  • various forms of privilege that may be claimed; and
  • practical “do’s and don’ts” in preparing for and giving answers at interviews.

SPEAKER: Kevin Yam, Partner, Kennedys

Kevin joined Kennedys as a partner in 2013.  His practice covers a wide range of areas, which include financial services regulatory investigations and litigation such as investigations into the roles and conduct of listing sponsors, underwriters and bookrunners; as well as investigations and litigation relating to allegations of market misconduct, bribery and/or fraud; allegations of investment mis-selling and unauthorised investments; shareholder and contractual disputes; professional negligence claims and related disciplinary proceedings; Hong Kong and potential PRC legal issues in producing documents to Hong Kong regulators, and the reporting of suspicious transactions. 

In the course of his practice, Kevin has acted for international, regional and local financial institutions, publicly listed companies, professional services firms, individuals working in regulated industries or professions, and high profile public figures.

Educated at the University of Melbourne with undergraduate degrees in law and economics, and a postgraduate degree in economics, Kevin worked in Hong Kong as a trainee and as an associate at a market-leading disputes and regulatory team of an international law firm from 2002 to 2006. He then became an in-house legal counsel with a big four accounting firm in Hong Kong from 2006 to 2009. He re-joined the international law firm as a senior associate in 2009 and then joined Kennedys in 2013.

Kevin has published or co-published (with leading Hong Kong and Australian academics) articles on public law and law enforcement issues in English, Australian and Hong Kong law journals. He is also a member of the Hong Kong Law Society's Constitutional Affairs and Human Rights and Competition Law committees.

VENUE: Kennedys, 11/F, The Hong Kong Club Building, 3A Chater Road, Central

DATE: Wednesday 15 July 2015

TIME: 12.30 for lunch, 13.00 - 14.00 for presentation

RSVP: Please register your attendance online no later than Friday 10 July 2015. If you register but are then unable to attend, please email events@hkcca.net and tell us so that other members on any waitlist may attend. If you have any suggestions for topics or speakers for future HKCCA events, please let us know at events@hkcca.net.

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