讲座背景

香港证券及期货事务监察委员会（“香港证监会”）于2021年5月20日宣布会加强打击涉及首次公开招股的失当行为。最近几个月，香港证监会也多次采取高调行动调查首次公开招股有关的可疑活动。为了帮助大家对相关监管行动有更多的了解，本次讲座邀请到在相关领域具有丰富执业经验的陈国豪（Jimmy Chan）律师为大家进行分享。

陈律师为竞天公诚律师事务所合伙人兼香港法律专业协进会副会长，他将主要围绕香港证监会对上市公司、保荐人及其高管人员采取的执法行动，以及律师在处理相关案件时应注意的事项进行分享。期待您的参与！

讲座详情

1. 请提前报名参加课程；

2. 报名获确认后，您的电子邮箱将收到一封确认函，其中包含如何加入会议的资讯；

3. 如您需要申请CPD分，请务必使用与律师执业证件上的名字一致的用户名登陆Zoom会议系统，并严格遵守讲座时间准时登入。

讲座提纲

• 香港证监会最新公告分享及解读

• 香港证监会对保荐人及保荐主管的执法行动

• 香港证监会对上市公司及其董事的执法行动

• 香港证监会可采取的不同种类的执法行动

• 案例研究

• 问答环节

报名方式

主讲嘉宾

陈国豪

合伙人

(852)2926 9393

jimmy.chan@jingtian.com

陈国豪律师曾在香港证券及期货事务监察委员会（香港证监会）任职14年，其间担任法规执行部总监暨国际及政策组主管。在此期间，陈律师曾与中国证券监督管理委员会和美国证券交易委员会等国际金融监管机构紧密合作，并参与跨境执法工作。陈律师在上市公司调查以及香港证监会涉及金融中介机构的纪律处分程序领域也有着丰富的经验，并曾在证券及期货事务上诉审裁处程序中代表香港证监会处理上诉事宜。陈律师还曾因在纪律处分程序和雷曼兄弟迷你债券事件调查上的出色表现，被两次授予香港证监会杰出个人奖。

自回归私人执业后，陈律师多次代表持牌券商、上市公司及其董事成功处理香港交易所问询和香港证监会的调查。陈律师还曾协助一家被香港证监会根据《证券及期货（在证券市场上市）规则》勒令停牌的上市公司成功复盘。

陈律师曾于香港大学攻读法律专业，并于伦敦大学学院（志奋领学者）和哈佛法学院（哈佛-香港赛马会研究学者）获得法学硕士学位。陈律师拥有中国香港、英格兰、威尔士和美国纽约州的法律执业资格。陈律师曾任《证券及期货条例：评论和注释》一书（Sweet & Maxwell出版公司出版）的特约编辑。

主办单位

法律专业协进会有限公司（简称“法进会”），成立于2020年1月9日。它是由一批来自不同执业领域的香港律师联合发起，旨在打造一个开放式平台，汇聚专业理性的力量，创新交流合作的思路，分享法律服务的成果，推动香港与内地法律界更加紧密合作，促进本港法律行业长期繁荣发展。

Invitation | The Lecture on SFC’s Enforcement Actions against Listed Companies, Sponsors and their Senior Management

Background

On 20 May 2021, the Securities and Futures Commission (the“SFC”) announced that it will step up efforts to combat IPO-related misconduct and has recently taken some high profile actions in relation to suspicious IPO activities. In this seminar, Jimmy will provide an overview of the SFC’s enforcement actions against listed companies, sponsors and their senior management and discuss what lawyers need to be aware of when they are acting for their clients.

Speaker: Jimmy Chan - Partner at JINGTIAN & GONGCHENG and a Vice President of the LPAA

Details

1. Please sign up for the course(s) in advance.

2. After your enrolment has been approved, you will receive a confirmation email containing information about how to attend the course.

3. If you wish to apply for CPD points, please do log in the Zoom system by using your full name indicated in your practicing license, and strictly comply with the lecture time to log in.

Outline

• Recent announcements by the SFC

• Actions against listed companies and directors

• Actions against sponsors and sponsor principals

• Different types of enforcement action

• Case studies

• Q&A

Registration form

Guest speaker introduction

Jimmy Chan

Partner

(852)2926 9393

jimmy.chan@jingtian.com

Jimmy spent 14 years with the Hong Kong Securities and Futures Commission (SFC), where he served as Director and Head of International and Policy of the Enforcement Division. In this role, he worked closely with international financial regulators, including the China Securities Regulatory Commission and the US Securities and Exchange Commission, and handled international cross-border investigations. He also has substantial experience in listed company investigations and SFC disciplinary proceedings involving financial intermediaries, appearing before the Securities and Futures Appeals Tribunal.  He received the SFC Individual Outstanding Award twice for his work on disciplinary appeals and Lehman Minibond investigations.  

Since returning to private practice, he has successfully represented licensed corporations, listed companies and their directors in HKEx’s enquiries and SFC’s investigations.  He has also assisted a listed company in lifting a trading suspension imposed by the SFC under the Securities and Futures (Stock Market Listing) Rules.

Jimmy studied law at the University of Hong Kong and obtained postgraduate law degrees from University College London (Chevening Scholar) and Harvard Law School (Harvard HKJC Postgraduate Scholar).  He is qualified as a solicitor in Hong Kong and England and Wales, and as an attorney in the State of New York.  He has been a contributing editor of Sweet & Maxwell’s Securities and Futures Ordinance: Commentary and Annotations.

Organizer

The Legal Professional Advancement Association Co., Ltd. (referred to as the "Law Advancement Association") was established on January 9, 2020. It was jointly initiated by a group of Hong Kong lawyers from different fields of practice. It aims to create an open platform to gather professional and rational power, innovate ideas for exchanges and cooperation, share the results of legal services, and promote closer cooperation between Hong Kong and the mainland legal community. Promote the long-term prosperity and development of Hong Kong's legal industry.