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How to deal with the 3Cs when they come knocking – An overview of the dawn raid and investigative powers of the ICAC, SFC and CC (Competition Commission) and practical tips on dealing with them

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Event Details:

Speakers :

Mr Sherman YAN, Managing Partner, Head of Litigation & Dispute Resolution, ONC Lawyers

Mr Dominic WAI, Partner, ONC Lawyers

Facilitator : Mr Albert LAW, President, the Institute of Accountants in Management

Date : 25 July 2017 (Tuesday)

Time : 7:00pm - 9:00pm (Registration starts at 6:30pm)

Venue : Auditorium, 1/F., Duke of Windsor Social Service Building, 15 Hennessy Road, Wanchai, Hong Kong

Language : Cantonese (no simultaneous translation)

CPD Credit : 2 hours

Fee : HK$100-

About the Seminar:

Topics to be covered:

- Main Investigative powers of:

- The Independent Commission Against Corruption (ICAC)

- The Securities and Futures Commission (SFC)

- The Competition Commission (CC)

- Dawn raids and how to deal with them

- Rights of a suspect and witness

- Legal professional privilege

- Measures to prevent the triggering of an investigation

- Ethics and code of conduct

- Corporate governance

- Self reporting and plea bargaining

- Case studies

About the Speakers:

Mr Sherman YAN, Managing Partner, Head of Litigation & Dispute Resolution, ONC Lawyers

Sherman has many years of experience in handling complex commercial disputes, especially shareholders’ disputes in listed companies and regulatory issues under the Securities and Futures Ordinance. Sherman has frequently acted for listed companies, their shareholders or directors and securities investors in dealing with inquiries and investigations by regulatory bodies such as the Hong Kong Monetary Authority and the Hong Kong Exchanges and Clearing Limited. Besides, he is also a member of the Civil Litigation Committee of the Law Society of Hong Kong with extensive experience in handling and reviewing new laws and regulations related to litigation.

Sherman is also an arbitrator of the South China International Economic and Trade Arbitration Commission (Shenzhen Court of International Arbitration) (SCIA), eligible to act for clients in arbitrations concerning disputes related to international trade.

Academically, Sherman is also a contributor to legal textbooks including “Securities and Futures Ordinance (Cap.571): Commentary and Annotations” and “Tort Law & Practice in Hong Kong”, both published by Sweet & Maxwell.

Mr Dominic WAI, Partner, ONC Lawyers

Before joining the legal profession, Dominic has worked in the banking sector and as well as in the Independent Commission Against Corruption (ICAC).

Dominic’s practice focuses on advising clients on matters relating to anti-corruption, white-collar crime, law enforcement, regulatory and compliance matters in Hong Kong, including advice on anti-money laundering. He also handles cases involving corporate litigation, shareholders’ disputes and insolvency matters, defamation cases, domestic and international arbitration cases, cybersecurity, data security and privacy law issues, competition law matters, e-Discovery and forensic investigation issues as well as property litigation.

Dominic is a contributor to several publications including June 2017 edition of CSj, the journal of the Hong Kong Institute of Chartered Secretaries.

Dominic is currently a board member of a charity that provides a home service for sick children and their families. He is supportive and actively participating in the activities of the charity. Dominic is a member of the Disciplinary Panel A of the Hong Kong Institute of Certified Public Accountants.

CPD Hours:

Completed CPD hours will be granted to attendees who have attended a full session of seminar. For those who have not attended full session, the number of CPD hours will be discounted accordingly. For the exact recognition of the CPD hours, please check with the respective Institute or Association.

Bad Weather Arrangement:

This event may be cancelled or re-scheduled when typhoon no.8 or black rainstorm warning is hoisted. Please refer to our website for the arrangement.


The Institute of Accountants in Management (IAM)


Accounting Development Foundation Limited (ADF)


- This seminar will be opened for enrolment on 6 July 2017 at 11:00am. The "Login to Enrol" button is NOT available before 6 July at 11:00am.

- Only ADF Friends and online enrolment will be accepted. Please make sure that you have registered as an ADF Friend and have your ADF Friend account activated before enrolment.

- You may also click here to read the enrolment procedures.

- Acceptance will be on a first-come-first-served basis.

Our server may experience high volume of traffic and cannot process your registration immediately. We are sorry for any inconvenience caused and your kind understanding is highly appreciated.

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