Hong Kong SFC director: “we’re working on the difficult stuff”

15 October 2019

The director of the Hong Kong Securities and Futures Commission said the agency has posted record-high fines following tough scrutiny on conduct in initial public offerings.


Kyle Wombolt

Herbert Smith Freehills

Mr. Wombolt is the global head of Herbert Smith Freehills' corporate crime and investigations practice, based in Hong Kong. Regarded as one of the Asian market's leading white collar and regulatory lawyers, he has been described as "one of the cornerstones of investigations work in Asia".  Mr. Wombolt has led investigations and compliance projects in more than 40 countries worldwide. He focuses on multi-jurisdictional corruption, money laundering, regulatory, fraud and accounting investigations, as well as trade and sanctions issues involving multinational and major regional corporates.  He has long been ranked as a leading individual by Chambers, The Legal 500 and IFLR and is a frequent speaker on criminal and regulatory enforcement issues arising in Asian markets.

K Lesli Ligorner

Morgan, Lewis & Bockius

K. LESLI LIGORNER is a Partner at Morgan, Lewis & Bockius in China. She advises on a wide range of employment and compliance issues, helping companies address China’s evolving employment laws, the US FCPA, and anticorruption laws. Multinationals in China face many employment and compliance minefields, and Lesli helps clients navigate areas such as establishment and enforcement of company policies, hiring and termination, performance management, anticorruption compliance, discrimination and harassment policies, noncompetition issues, and other employee protections. She conducts and supervises internal investigations and the training of employees and third-party intermediaries in APAC and advises on termination strategies at the conclusion of investigations.

Keynote Speaker

Thomas Atkinson

Executive Director, Enforcement, Securities and Futures Commission

Mr Thomas Atkinson is an Executive Director with responsibility for the Enforcement Division. That Division is responsible for the surveillance of the securities and futures markets to identify unacceptable conduct as well as for investigating statutory offences and breaches of the legislation enforced by the SFC. It also disciplines licensed persons and initiates prosecutions where appropriate.
Prior to joining the SFC, Mr Atkinson was Director of Enforcement at the Ontario Securities Commission, Canada. Before that he was President and CEO of Market Regulation Services Inc., previously a national regulator of equity trading in Canada, and from 1996 to 2001 he held progressively senior positions with the Toronto Stock Exchange.


Vena Cheng

Akin Gump Strauss Hauer & Feld

Qing Di


Gary Gao

Zhong Lun

Susanne Harris

Mayer Brown

Mark Johnson

Debevoise & Plimpton

Andrew Powner


James Wadham

Davis Polk & Wardwell

Pei Li Wong



08.30: Welcome coffee and registration

09.00: Chairs’ opening remarks

Kyle Wombolt, Herbert Smith Freehills 
K Lesli Ligorner, Morgan, Lewis & Bockius

09.10: Keynote address

Thomas Atkinson, Executive Director, Enforcement, Securities and Futures Commission

09.30: Session one: A mock investigation: navigating technology transfer issues in multiple jurisdictions

This session will discuss a scenario concerning multijurisdictional accounting and technology transfer issues implicating China, Hong Kong and the US.

Matters our panel are expected to consider include:

  • Data privacy, data collection, and data transfer in the context of an investigation
  • The art of interviewing witnesses, and addressing witnesses with different cultural backgrounds -- is your approach driven by the ultimate enforcer you are going to deal with?
  • Intellectual property rights
  • Dealing with whistleblowers
  • Difficulties in employment law issues

Kyle Wombolt, Herbert Smith Freehills 
K Lesli Ligorner, Morgan, Lewis & Bockius

Vena Cheng, Akin Gump Strauss Hauer & Feld
Qing Di, JunHe
Andrew Powner, Haldanes
Pei Li Wong, BDO

10.45: Coffee break

11.15: Session two: GIR Live Question Time

A panel of leading names will discuss hot topics submitted by the audience and moderators in advance.

Kyle Wombolt, Herbert Smith Freehills 
K Lesli Ligorner, Morgan, Lewis & Bockius

Gary Gao, Zhong Lun
Susanne Harris, Mayer Brown
Mark Johnson, Debevoise & Plimpton
James Wadham, Davis Polk & Wardwell

12.30: Chairs’ closing remarks

Kyle Wombolt, Herbert Smith Freehills 
K Lesli Ligorner, Morgan, Lewis & Bockius

12.40: Networking Lunch

13.40: Close of conference


For further information or sponsorship opportunities, please call +44 203 780 4137 or email



18/F Prince’s Building, 10 Chater Road, Central, Hong Kong


  • "This conference featured highly experienced and well-informed panellists, who were all very engaged in the discussion of very relevant issues to this audience." Wendy Wysong, Clifford Chance

  • "Nice case study and interesting panellists." Lisa Brander, CLSA


Private Practitioner
Type Price Expires
Standard £300 14 Oct 2019


Type Price
Standard £0