To further strengthen collaboration in securities, futures, and listed company compliance matters, on 1 December 2025, our firm’s partners Mr. Stanley Chan, Ms. Artemis Szeto, and consultant Mr. Johnny Chan attended a seminar themed “Supervisory Authority and Enforcement Mechanisms of the Hong Kong Securities and Futures Commission (“SFC”)”.
The seminar provided an overview analysis of the core framework of the Securities and Futures Ordinance (“SFO”), covering key topics including the licensing and registration regime, disciplinary proceedings, market misconduct, and disclosure obligations. The event aimed to deepen industry understanding of Hong Kong’s financial regulatory landscape and
compliance requirements.
Our consultant Mr. Johnny Chan, as the speaker, presents a comprehensive discussion on ten key areas:
1. Overview of Hong Kong’s Financial Regulatory Framework – Role and Position of the SFC
2. Regulatory Structure – Major Components of the Securities and Futures Ordinance
3. Licensing and Registration Regime
4. Supervisory and Intervention Powers of the SFC
5. Disciplinary Proceedings Mechanism
6. Securities and Futures Appeals Tribunal
7. Market Misconduct and the Market Misconduct Tribunal
8. Criminal Offences under the SFO
9. Disclosure of Interests Regime
10. Insider Information Disclosure Obligations
Following the presentation, Mr. Stanley Chan, Mr. Liao Xin, and Mr. Luo Jianxin delivered closing remarks. They highlighted the importance of deepened collaboration, mutual development, and long-term synergy between the teams.
The seminar concluded with an open discussion session, where participants exchanged views on compliance trends and potential areas of cross-border cooperation between Hong Kong and Mainland China.
Through this in-depth exchange of professional insights and practical experiences, the event further strengthened the foundation of cross-border collaboration between our firm and Guangdong Kingbridge Law Firm. Moving forward, both firms will continue to leverage their respective expertise to deliver more efficient, seamless, and high-quality cross-border legal services, jointly fostering a new chapter of integrated development.
