FacultyFaculty/Author Profile

Lisa Chen

Securities and Futures Commission
Senior Director of Discipline
Hong Kong, HKG

Ms. Chen is a Senior Director in the Enforcement Division of the Securities and Futures Commission (SFC), which 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, and disciplining licensed persons and initiating prosecutions where appropriate.   She was previously the Deputy Chief Counsel in the Legal Services Division of the SFC.

Before joining the SFC, Ms. Chen worked at a leading international law firm in its Hong Kong office.  She regularly advised major financial institutions and corporates in regulatory and internal investigations, and disciplinary and enforcement proceedings. She had also advised on a broad range of litigation, including disputes arising from private and public securities offerings, derivatives, and other structured products.


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