Webinar: HKEx and SFC’s Enforcement Actions against Listed Companies and Directors
Event Code : 20220517


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


- HKEx’s enforcement actions

- SFC’s actions against Listed Companies and Directors

- Different types of SFC enforcement actions

- How to deal with regulatory investigations

- Cross border securities investigations


Jimmy Chan, Partner of Jingtian & Gongcheng

Jimmy Chan is a Partner and Head of Financial Regulation of Jingtian & Gongcheng.  He is a Council Member of the Law Society of Hong Kong.

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, financial institutions and their senior staff in financial regulatory investigations by the SFC and the HKEx.

He studied law at the University of Hong Kong and obtained further law degrees from University College London (Chevening Scholar), Harvard Law School (Harvard-HKJC Scholar) and Peking University.  He is qualified as a solicitor in Hong Kong and England and Wales and as an attorney-at-law in the State of New York.

CPD Hours:
1.0 Hours
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