What You Need To Know In Dealing With Regulators And Liquidators | AIA

Event Date: 
21 April 2018
Event Time: 
14:30 to 16:45

This seminar covers the following topics:

Session 1: 2:30pm – 3:30pm - Dealing with Requests from Regulators and Liquidators

      • Powers of major regulators and enforcement authorities in Hong Kong (FRC, SFC, HKICPA, HKEx)
      • Typical requests from regulators and liquidators
      • Legal professional privilege
      • Dealing with "dawn raids"
      • Legal proceedings brought by regulators or liquidators

Session 2: 3:45pm – 4:45pm - CPA FIRMS’ QC AND RECORD RETENTION CONSIDERATIONS

      • ISQC1 / HKSQC1 requirements
      • Special considerations regarding regulatory requests
      • Requests for access to audit working papers

Speakers:

Session 1: Mr. Samuel Hung, Associate, RPC

Samuel is a dispute resolution lawyer with a particular focus on defending claims against professionals including accountants, lawyers (solicitors and barristers), insurance brokers, financial advisers and property agents. He also advises professional service firms in relation to regulatory investigations and disciplinary proceedings, and provides risk management advice to them. Samuel was admitted in Hong Kong and in Australia (New South Wales). He is a solicitor at RPC, an international law firm based in the UK, Hong Kong and Singapore. One of RPC's key strengths is defending claims against accountants.

Sesson 2: Mr. Stephen CHAN FCA FCPA FAIA, Director, Head of Risk, BDO, and President, AIA HK Branch

Stephen Chan

Before joining BDO Hong Kong, Stephen was the Executive Director and Technical Director of the Hong Kong Institute of Certified Public Accountants (HKICPA) for over 10 years. He actively participates in the technical committees and working groups of the BDO Network and accountancy bodies including AIA Hong Kong Branch and HKICPA.  

Fee$200 for AIA members$250 for Non-members                       

CPD Units: 2units

Language: Cantonese (Supplemented with English PPT)

Click HERE for Registration form