Webcast Replay – Business as Usual During a Regulatory Investigation

April 14, 2022
| ( Online )
Webcast Business as Usual During Regulatory Investigation
Watch the Webcast Replay (In Cantonese)

Going into 2022, misconduct of listed companies and listing frauds are likely to continue to be focal points of regulatory investigations. Coupled with the Mainland and Hong Kong regulators’ pledge to clamp down on major capital market violations, increased enforcement and disciplinary actions, and changes to the Hong Kong Stock Exchange's (HKEX) Corporate Governance Code, what more would we expect from regulators? 

Kroll and Minter Ellison recently conducted a webcast where the panelists discussed on the following topics: 

  • Regulators' powers and expectations to investigate affairs of listed companies
  • Practical points to note when dealing with regulators and conducting investigations
  • Remedial measures for seeking resumption


  • Katy Wong, Managing Director, Governance and Risk Advisory, Kroll
  • Sam Tai, Managing Director, Restructuring, Kroll
  • Desmond Yu, Partner, MinterEllison LLP


Financial and operational restructuring and enforcement of security, including investigation, preservation and realization of assets for investors, lenders and companies.