| Course Details |
 Course List |  Course Calendar
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| (Live Lecture & Webinar) Challenging Regulatory Investigation and Enforcement Processes |
| Date: |
22 September 2026 (Tuesday) |
| Time: |
2:30pm - 5:45pm |
| Level: |
I (Intermediate)
For delegates who have prior knowledge of the subject area |
| Language: |
English |
| Fee: |
HK$ 1,850 |
| Accreditation: |
(3 CPD Points will be applied for) |
| Ref: |
L26SF02 |
| Venue: |
Live Lecture or Zoom Webinar
- Rm 2102, 21/F, Beautiful Group Tower,
77 Connaught Road Central, HK
- Online Webinar via Zoom
[View Map] |
Presenter's Biography:
Nathan's practice focuses on complex commercial disputes and contentious regulatory matters. He regularly represents clients in high-value, complex litigation before the Hong Kong courts and in arbitral proceedings across a broad range of disputes, including:
- Shareholder and joint venture disputes
- Contractual claims
- Investment and fund-related disputes
- Fraud investigations, including asset tracing and recovery
- Professional negligence claims
- Insolvency-related matters
Nathan's contentious regulatory practice includes advising major regulators on the exercise of their statutory and public law functions. His clients include:
- The Stock Exchange of Hong Kong
- The Accounting and Financial Reporting Council
- The Hong Kong Institute of Certified Public Accountants
- The Competition Commission
Nathan is widely recognised for his work in securities enforcement and investigations. He is the author of the first edition and co-author of the second edition of SFC Investigations and Enforcement Proceedings (LexisNexis), the leading Hong Kong text on investigations and enforcement under the Securities and Futures Ordinance. He has extensive experience acting for parties in investigations by the Securities and Futures Commission (SFC), as well as in related proceedings before the Market Misconduct Tribunal, the Securities and Futures Appeals Tribunal, and the Hong Kong courts. He also advises clients in respect of extradition proceedings and challenges to Interpol Red Notices, commonly arising in connection with regulatory investigations and enforcement proceedings overseas.
Through his regulatory work, he has been involved in many of Hong Kong's leading public law cases, with a particular focus on judicial review proceedings concerning the exercise of investigative and enforcement powers by securities and accounting regulators. He has been engaged as an expert witness on Hong Kong securities laws and regulations in both court proceedings and arbitral proceedings.
Nathan is highly ranked by both Chambers & Partners and The Legal 500 for Financial Services: Contentious Regulatory, Dispute Resolution: Litigation, and Insurance: Contentious (International Firms).
Priscilla advises clients on a wide range of commercial disputes, including joint venture and shareholder disputes, contractual claims, investment disputes, fraud investigations (including asset tracing and recovery), professional negligence claims and insolvency-related matters.
She often acts in accounting regulatory matters and advise the accounting regulators in Hong Kong on the discharge of their public law functions. She has conducted numerous disciplinary and appeal proceedings against accounting professionals in Hong Kong.
She also has extensive experience in securities regulatory matters involving the Securities and Futures Commission and the Stock Exchange. She is the co-author of the second edition of SFC Investigations and Enforcement Proceedings (LexisNexis), the leading Hong Kong text on investigations and enforcement under the Securities and Futures Ordinance.
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Objective:
To outline the essential legal framework governing regulatory investigations and enforcement processes, and the legal issues which commonly arise when challenging such processes.
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Outline:
- Overview of the framework for regulatory investigations and enforcement processes
- The administrative law framework
- illegality
- irrationality
- procedural impropriety
- legitimate expectations
- The constitutional framework
- Challenging the regulatory process
- judicial review
- private law proceedings
- setting aside search warrants
- exclusion of evidence
- stays
- Common issues
- public interest immunity
- anonymity orders
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| Category: |
Regulatory & SFC Compliance |
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Bookings & Payments
To reserve a seat, please fax the completed booking form to us. We will send out a written Booking Confirmation either by fax or by email to confirm your booking, normally within 48 hours after receiving the booking form. Payment should be made upon we send the Booking Confirmation to you, or together with the booking form if the booking is received within seven (7) days of the course. You are advised to contact us to confirm your place if you have not received the Booking Confirmation prior to the commencement of the course.
Cancellation
In case of cancellation of a booking, you must inform us in writing at least seven (7) days before the date of the course, and a full refund will be issued (less of HK$300 administration fee). Cancellation of unpaid bookings will incur a HK$300 administration fee and the cancellation will not be deemed effective until payment of such fee is received. No refunds will be given and any outstanding amounts remain payable in full if the written notice of cancellation is made less than (7) days before the date of the course.
Transfer
If you cannot attend a booked course, you must inform us in writing at least 24 hours before the commencing time of the course. You may then:
- Transfer the booking to a replacement delegate;( Not available for Individual Discount Packages)
- Transfer your booking to another course, to be held before 31 October 2026; or
- Request a credit voucher, to be used on another LexOmnibus CPD course to be held before 31 October 2026.
No attendance
Once a booking is confirmed and no written notice of cancellation is received by us within the specified time as mentioned above, if a delegate has not settled the payment for a course and fails to attend, for whatever reason, the course fee will remain payable in full. To be awarded CPD points, full attendance of all parts of the conference is required. If you arrive later, or fail to attend a course, your course fee will not be waived, refunded or a credit voucher issued.
Weather
In the event that the No.8 typhoon signal is hoisted or the Black Rain Storm warning is raised within 2.5 hours of the course or is due to be raised during the course, the course will be cancelled. In the event of cancellation due to bad weather, the course will be rescheduled or a credit note issued. No refunds will be given.
Record of Attendance
A certificate of attendance can be provided at a cost of HK$40. Alternatively, a verification of attendance in letter format, along with the original payments receipt is available, at a cost HK$40. Please apply in writing to request either a certificate or verification letter subsequent to the course.
Conference Venue
All the conferences, except webinars, will be taken place in Central. The address of the conference venue will be notified by email, and via the website.
Other Terms
- We may reschedule, vary the details of a course at any time without liability. If we cancel or reschedule the course, except due to the weather conditions indicated, a credit note will be issued.
- Any bank charges and/or expenses incurred as a result of bounced cheques shall be borne by the delegates.
- LexOmnibus will not issue an invoice for registration of a course except under special circumstances and LexOmnibus reserves the right to charge an administration fee for providing that service.
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