Tackling the misconduct by listed companies remains the top priority of the Securities and Futures Commission (“SFC”). The SFC seek to address the listed companies’ misconduct and regulatory concerns using its front-loaded, multi-pronged approach, including suspending the trading of a company’s listed securities before the start of formal investigation.
With the SFC's continuing focus on high impact cases, we anticipate more vigorous enforcement against and penalties on listed companies and their directors in 2020 and beyond.
According to the enforcement statistics of the SFC, the following is the main areas of investigations by the SFC:
Corporate governance and breach of directors’ duties
There will be case studies to illustrate the above issues.
Sherman Yan, Managing Partner, Head of Litigation & Dispute Resolution, ONC Lawyers
Sherman Yan is the Managing Partner and Head of Litigation & Dispute Resolution of ONC Lawyers. He has many years of experience in handling complex commercial disputes, especially shareholders’ disputes in listed companies and regulatory issues under the Securities and Futures Ordinance. Sherman has frequently acts for listed companies, the shareholders, directors and securities investors in dealing with inquiries and investigations by regulatory bodies such as the Hong Kong Monetary Authority, the Hong Kong Exchanges and Clearing Limited, and the Securities and Futures Commission of Hong Kong. Besides, Sherman is also a member of the Civil Litigation Committee of the Law Society of Hong Kong with extensive experience in handling and reviewing new laws and regulations related to litigation.
Academically, Sherman is also a contributor to legal textbooks including “Securities and Futures Ordinance (Cap.571): Commentary and Annotations” and “Tort Law & Practice in Hong Kong”, both published by Sweet & Maxwell.
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