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Singapore Management University (map)

No. of Public CPD Points: 1.5

Practice Area: Corporate/ Commercial

Training Level: General



Effective securities law enforcement lies at the heart of protecting investors and maintaining market integrity. As financial markets become ever more complex and globally connected, securities regulators need to tackle both local and cross-border misconduct. This requires a properly equipped toolbox, and a willingness on the part of regulators to deploy the regulatory tools not just to deter and punish wrongdoers but also to bring a fair outcome to investors and the markets they regulate. Much can be achieved within the legal confines of the regulatory framework with the judicious use of strategic thinking, creativity and determination. Hong Kong has quite effectively put this into practice: while the first priority of the Hong Kong Securities and Futures Commission’s enforcement programme is no different from other law enforcement agencies, i.e., the deterrence of crime and misconduct, an equally strong emphasis is also put on dealing with the consequences of the misconduct by providing remedial relief to those financially hurt by such conduct. The purpose is to help victims and restore investors’ confidence in the financial markets. This seminar aims to provide practitioners with an understanding of the securities law regime and the enforcement philosophy of the securities regulatory authority in Hong Kong.



Alexa Lam – Professor, The University of Hong Kong (Faculty of Law)
Wan Wai Yee – Associate Professor, Singapore Management University (School of Law)
Stefanie Yuen Thio – Joint Managing Partner, TSMP Law Corporation
Jacqueline Chan – Partner, Milbank, Tweed, Hadley & McCloy

For more information on the programme, please click here for the publicity brochure.