SFC Investigations

Course Description

In this course, we will cover-:

• How does the SFC initiate an investigation?
• Investigation on suspected misconduct in relation to listed corporations.
• Investigation on suspected offenses and other misconduct under the SFO
• Investigation on suspected offenses under the AMLO
• Types of Interviews like Voluntary interview Statutory interview & Cautioned interview.
• Do’s & Don’ts in the investigation.

About Speaker:

Donald Lai
Solicitor, CPA, ACA, BFP, MHKSI, ACG, HKACG, CIA, CFSA, CGAP, CRMA,
CFE, CAMS, LLB (1st Hon), LLM (CFL) (Distinction), MAcc (Cambridge)

Donald Lai is a Multilingual (English, Cantonese, Mandarin, and Japanese) legal and compliance professional with 15+ years of experience in the public and private sectors of the financial services industry. He has a solid understanding of securities laws and regulations with multiple professional qualifications in accounting and finance, law, AML, fraud examination, and corporate governance.