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SFC Investigations and Enforcement Proceedings

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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.
This text is split into five key sections to enhance usability and assist readers to interact with the content most efficiently and effectively.
Part 1 - Introduction
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.

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