SFC Investigations and Enforcement Proceedings, 2nd edition

Author: Nathan Dentice; Priscilla Au-Young
Publisher: LexisNexis Hong Kong
ISBN: 9789888932184

Previous Edition ISBN: 9789888600205
Published In: March 2026
Format: Paperback (2 volumes) , 1213 pages
Jurisdiction: Hong Kong ? Disclaimer:
Countri(es) stated herein are used as reference only

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This title is the first of its kind to provide comprehensive guidance on how to prepare and respond to investigations and enforcement proceedings undertaken by the Securities and Futures Commission (SFC) in Hong Kong, including answers to the questions which commonly arise in the conduct of any such matter.

Since the first edition was published six years ago, Hong Kong’s securities regulatory framework has undergone significant development, with numerous decisions from the courts, the Securities and Futures Appeals Tribunal and the Market Misconduct Tribunal. This second edition offers updated guidance on preparing for and responding to SFC investigations and enforcement proceedings in light of these new developments.

The law in relation to this area is complex, and the legislative framework is extremely convoluted. In order to understand the area, it is necessary to have considerable practical experience. In responding to SFC investigations and enforcement proceedings, one may encounter a diverse range of legal areas, including administrative law, criminal law, the law of agency, employment law, the law of tort, and civil procedure.

The text is split into five key sections to assist readers navigate this intricate area of law:

• Part 1 – Introduction (including the essential approach in responding to an investigation)
• Part 2 – Common Issues
• Part 3 – Investigations
• Part 4 – Enforcement Proceedings
• Part 5 – Key Offence Provisions

Nathan Dentice

Nathan specialises in contentious regulatory matters and complex commercial litigation. In his regulatory practice, he routinely represents parties subject to SFC investigations and enforcement proceedings. He also advises several statutory regulators on the discharge of their public law functions, including their investigation and disciplinary responsibilities. He has conducted a number of the leading public law cases which have served to define the role and duties of the regulator in Hong Kong. Nathan began his legal career in New Zealand. He moved to Hong Kong in 2002 to join the high profile commercial litigation and securities regulatory team at Richards Butler. He has continued with the team since, and was part of the team’s move to MinterEllison LLP in January 2019. He is qualified in New Zealand and Hong Kong.

Priscilla Au-Young

Priscilla is a Partner at MinterEllison LLP, specialising in contentious regulatory matters and complex commercial litigation. Her regulatory practice includes advising parties subject to investigations and enforcement proceedings by the Securities and Futures Commission, as well as statutory regulators on the discharge of their investigative and disciplinary responsibilities. Priscilla is qualified to practise in Hong Kong and in England and Wales.