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SFC Investigations and Enforcement Powers under the SFO

  • 24 Nov 2015
  • 12:30 PM - 2:00 PM
  • Debevoise & Plimpton, 21/F, AIA Central, 1 Connaught Road Central, Hong Kong
  • 1


Registration is closed

Lunch Presentation

The HKCCA’s Executive Committee invites you to the following presentation, hosted by Debevoise & Plimpton

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

TOPIC : SFC Investigations and Enforcement Powers under the SFO

The seminar topic will address:

  • Overview of the Securities and Futures Commission’s powers of investigations and enforcement under the Securities and Futures Ordinance Cap 571
  • How to handle an SFC investigation
  • Considerations and factors in brining judicial proceedings “MMT” civil proceedings vs criminal proceedings
  • Challenging decisions: appeal procedures
  • Case studies on recent disciplinary actions
  • Practical tips

SPEAKER : Mark Johnson

Partner, Debevoise & Plimpton

Mark Johnson is a partner in the firm’s Hong Kong office and a member of the International Dispute Resolution Group. His practice focuses on white collar/regulatory defense matters as well as commercial litigation in Hong Kong and across Asia.

Mr. Johnson joined Debevoise in March 2015. Prior to joining the firm, Mr. Johnson was a partner at a leading international firm in Hong Kong, where he oversaw the opening of the firm’s disputes practices in Singapore, Jakarta, Bangkok, Beijing, Seoul, Shanghai and Tokyo.

For more than 25 years in the region, Mr. Johnson has built a successful practice advising on shareholders’ and directors’ disputes, internal and regulatory investigations, commercial litigation and inquiries from a range of regulatory bodies, both in Asia and elsewhere. These include matters involving the Hong Kong Securities and Futures Commission, the Hong Kong Monetary Authority, the Hong Kong Stock Exchange and the Independent Commission Against Corruption. Much of his work is in the financial services and private wealth sectors.

Mr. Johnson has become one of the Asia’s most respected and experienced litigators. Both Chambers and The Legal 500 list Mr. Johnson as a top-tier advisor for dispute resolution in China and Hong Kong respectively. Chambers Global states that he “continues to be a leading name in commercial litigation and contentious regulatory work in Hong Kong and the wider region,” while Chambers Asia Pacific has said he is “acknowledged as a leader in this field.”

VENUE: Debevoise & Plimpton, 21/F, AIA Central, 1 Connaught Road Central, Hong Kong

DATE: 24 November 2015

TIME: 12.30 for lunch, 13.00 - 14.00 for presentation

RSVP: Please register your attendance online no later than Friday 6th November, 2015. If you register but are then unable to attend, please email events@hkcca.net 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.

Please note this event is exclusively for HKCCA members. If you are not an HKCCA member but you wish to attend this presentation, you need to successfully apply for membership at www.hkcca.net and pay the membership fee before registering for the event. If you have any membership queries, please contact HKCCA Secretariat on events@hkcca.net or (852) 2516 7007.           

Register Now.

Best regards,

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