Webinar: SFC’s Enforcement Actions against Listed Companies, Sponsors and their senior management
Event Code : 20210916


In this Webinar, Jimmy Chan will cover the following topics:

  •   SFC recent announcements
  •   SFC actions against Listed Companies
  •   SFC actions against Independent Non-executive directors
  •   SFC actions against Sponsors and Sponsor Principals
  •   How to deal with SFC investigations


Jimmy Chan, Partner of Jingtian & Gongcheng

Jimmy Chan is a Partner of Jingtian & Gongcheng.  Jimmy spent 14 years with the SFC and served as a Director and Head of International and Policy of the Enforcement Division. He has twice been awarded the Outstanding Individual Award by the SFC for his efforts on the Lehman Brothers Minibond resolution and the securities and futures appellate work respectively.

Jimmy has substantial experience in cross-border financial investigations and SFC disciplinary proceedings involving financial intermediaries (banks, brokerage firms and sponsors).  Currently he represents numerous listed companies and financial institutions in financial regulatory investigations.

He is qualified as a solicitor in Hong Kong and England and Wales and as an attorney in the State of New York.

CPD Hours:
1.0 Hours
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