Seminar  Program

Sixth Annual Institute on Corporate & Securities Law in Hong Kong 2018


Why You Should Attend 

Our Sixth Annual Institute on Corporate & Securities Law in Hong Kong 2018 will again be a highlight in the education calendar in Asia.  Our faculty will be composed of the leading legal practitioners, including in-house counsel, active in the Asian, U.S. and UK corporate and securities law fields.  In addition we will be joined by key government and other regulators and prominent investment bank professionals.  Together our faculty will provide timely, practical guidance on the most critical issues facing corporate and securities law practitioners in Asia today. 

Attending this program will ensure you are completely up to date on the latest corporate and securities law developments in Asia.  In turn this will ensure you are best placed to advise your clients.  You will hear and participate in debates not only on legal developments across Asia but also gain a better understanding of the business drivers and equally important the developments that are influencing regulators, law makers and the approach to enforcement.

 

What You Will Learn 

  • Global Markets — Issuer Choices: Speakers will debate the options issuers now have to raise finance in the world’s capital markets and debate whether legal developments have kept pace with that changed environment
  • In-House Counsel Roundtable: Gain direct insight into the issues that are keeping General Counsel up at night
  • Mergers & Acquisitions — deal drivers: Learn about key drivers for the M&A market in Asia, as well as the impact of foreign investment restrictions and industry regulation across borders
  • Hong Kong Equity Capital Markets: Hear about developments in the Hong Kong regulatory regime from the perspectives of both the regulator and the market
  • Enforcement Issues in Asia: Learn about current enforcement efforts from key agency officials and practitioners from the U.S. and Hong Kong
  • South and South East Asian Capital Markets: Hear about current trends and learn how the experts are navigating changing markets
  • U.S. Regulatory Developments Impacting Asia: Understand the critical
  • regulatory activity happening in the US that is impacting Asian markets
  • Insolvency and Restructuring Techniques: Hear about developments across Asia impacting the approaches taken in a whole variety of distressed situations
  • Private Equity and Hedge Funds: Debate global developments in the context of Asian markets and how financial investors are growing as a force in Asia
  • Debt Markets Across the Region: Evaluate current trends and new products, the opportunities for issuers accessing offshore investors and the challenges for smaller companies coming to market
  • Corporate Governance Issues: Hear how global developments are impacting companies in Asia
  • Ethics Update: Learn how to apply the ethics rules in everyday situations and where to turn for help

 

Special Features 

  • Keynote address
  • Networking lunch on both days
  • Earn one full hour of Ethics credit
  • Special rates available for in-house counsel

 

Who Should Attend 

Corporate and securities law practitioners at any level of experience, including law firm and in-house counsel, financial and compliance officers, banking and accounting professionals, as well as government agency staff, will benefit from this comprehensive, practice-driven Institute.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 Networking Breakfast

9:30 Keynote

Brian Ho



10:00 Regulation of the HK Capital Markets – Direction of Travel
  • Analysis of recent consultations
  • “Problems” that need fixing?
  • Alignment with international trends
  • What the market really needs is…

Moderator: Teresa Ko

Speakers: Chen Ding, Brian Ho, David PW Lau, Sally Wong



11:00 Networking Break

11:15 M&A Trends in Asia
  • Key drivers for the M&A market in Asia
  • Recent developments and tactics in M&A structures
  • The role of private equity
  • Key regulatory changes
  • Recent deal activity

Moderator: Lisa Chung

Speakers: Christian Chin, Paul Lin, Yuto Matsumura



12:15 Financing Mergers & Acquisitions
  • Key differences between financing LBO acquisitions and corporate acquisitions
  • What are the current regional trends and changes in the debt market and how have new financing products influenced that?
  • What is the impact of new players in the Asian LBO market (both sponsors and financiers)?
  • How has the recent regulatory changes in China impacted the PRC acquisition market?
  • Expectations and predictions for the future of acquisition finance in Asia

Moderator: Andrew Bishop

Speakers: Nathalie Hobbs, Jackie Kahng, John Kim, Vikram Lamba



1:15 Lunch

2:15 Hong Kong Equity Capital Markets
  • How the new rules will impact IPOs?
  • What other developments would the market like?
  • Is the “new” approach to due diligence paying dividends?
  • How could Hong Kong attract more international companies to list?

Moderator: Stephen Revell

Speakers:  David Chu, Stephen J. Clark, Grace Hui, Grace Huang, Steven D. Winegar



3:15 Networking Break

3:30 Restructuring and Insolvency Issues Case Study
  • The emergence of debtor filings in Asia - Chapter 11 versus the new Singapore regime - a comparative review.
  • Case studies on GATE, China Fishery and other relevant recent matters in light of the comparative review.
  • Regional update including a review of the China NPL market
  • Litigation funding update - is there really a market for this in Asia?

Moderator: Neil McDonald 

Speakers: Cosimo Borrelli, Bert Grisel, David H. Zemans



5:00 Adjourn

Day Two: 9:00 a.m. - 5:30 p.m.

9:00 Enforcement Issues Today
  • Current U.S. enforcement efforts
  • Current Hong Kong enforcement efforts
  • Anti-corruption enforcement: FCPA, UK Bribery Act, Hong Kong Prevention of Bribery Ordinance

Moderator: Donna Wacker

Speakers: Jonathan K. Chang, Lisa Chen



10:00 Avoiding Enforcement with Compliance
  • Changes in the corporate compliance role
  • Current hot button financial services compliance challenges in the US, UK and Hong Kong
  • How to create a culture of compliance

Moderator: Simon Clarke

Speakers: Vivien Khoo, Angelina Kwan, Tim Tesluk



11:00 Networking Break

11:15 U.S. Regulatory Developments Impacting Asia
  • Recent SEC developments/hot topics in SEC comment letters
  • The JOBS Act in practice in Asia
  • Supreme Court review, including extraterritoriality and class actions
  • The Volcker Rule
  • Extraterritorial application of U.S. swaps regulation

Moderator: James Grandolfo

Speakers: Jonathan Barkey, Paul M. Dudek



12:15 A Guided Tour of South and South East Asian Capital Markets
  • Politics today and policies for the future: key developments that affect structuring and execution in South and South East Asia
  • Capital Markets in a FinTech landscape
  • Evolving domestic rules and how they impact executing capital markets transactions

Moderator: Agustin R. Montilla, IV

Speakers: Yash J. Ashar, Melli Darsa, Truong Nhat Quang



1:15 Lunch

2:15 In-House Counsel Roundtable: A Transactional Lawyer’s Perspective
  • Key issues for banks and bank counsel in 2018
  • Dos and Don’ts for external counsel
  • Life on the other side: going in-house as a career option

Moderator: Yvette Rodriguez

Speakers: Zhou Jiaxing, Jason Y. Ng, Anna Xu



3:15 Global Perspectives on FinTech Developments and the Regulatory Response
  • The emergence of peer-to-peer lending
  • Crowdfunding and its implications for capital raising
  • The emergence of virtual currencies
  • The regulatory response

Moderator: Etelka Bogardi

Speakers: Michelle Chan, Fiona Phillips



4:15 Networking Break

4:30 What Every Securities Lawyer Needs to Know About Ethics
  • Recent developments
  • Which ethics rules apply to lawyers in global firms?
  • Responsibility to prospective clients and “pre-deal” advice
  • Managing conflicts of interest for global firms – best practices
  • Communications with persons represented by counsel
  • Duties of confidentiality and treatment of client information

Moderator: Jason T. Elder

Speakers: Matthew Bersani, Stephen Monick, David Poureshagh, Anna-Marie C. Slot



5:30 Adjourn

Co-Chair(s)
James Grandolfo ~ Milbank, Tweed, Hadley & McCloy
Stephen Revell ~ Freshfields Bruckhaus Deringer
Yvette Rodriguez ~ Director and Associate General Counsel, Deutsche Bank
Moderator(s)
Andrew Bishop ~ White & Case
Etelka Bogardi ~ Norton Rose Fulbright
Lisa Chung ~ Slaughter and May
Simon Clarke ~ Allen & Overy
Jason T. Elder ~ Mayer Brown
Teresa Ko ~ Freshfields Bruckhaus Deringer
Neil McDonald ~ Kirkland & Ellis
Donna Wacker ~ Clifford Chance
Speaker(s)
Yash J. Ashar ~ Cyril Amarchand Mangaldas
Jonathan Barkey ~ Senior Vice President and Counsel for Global Banking and Capital Markets Origination, Citigroup
Matthew Bersani ~ Shearman & Sterling
Cosimo Borrelli ~ Managing Director, Borrelli Walsh
Michelle Chan ~ Bird & Bird
Jonathan K. Chang ~ Davis Polk & Wardwell
Lisa Chen ~ Senior Director of Discipline, Securities and Futures Commission
Christian Chin ~ Allen & Gledhill
David Chu ~ Managing Director, Head of Investment Banking and Capital Markets Legal - Asia Pacific, General Counsel Division, Credit Suisse
Stephen J. Clark ~ Managing Director, Advisory, Global Banking, Asia Pacific, The Hongkong and Shanghai Banking Corporation Limited
Melli Darsa ~ Melli Darsa & Co (MDC)
Chen Ding ~ CEO, CSOP Asset Management Limited
Paul M. Dudek ~ Latham & Watkins LLP
Bert Grisel ~ Moelis & Company
Brian Ho ~ Executive Director, Corporate Finance, Securities and Futures Commission
Nathalie Hobbs ~ Linklaters
Grace Huang ~ Freshfields Bruckhaus Deringer
Grace Hui ~ Managing Director and Chief Operating Officer, Listing Department, Hong Kong Exchanges & Clearing Limited
Zhou Jiaxing ~ Managing Director & Head of Legal, Department of Legal and Compliance, China International Capital Corporation (Hong Kong) Limited
Jackie Kahng ~ Ropes & Gray LLP
Vivien Khoo ~ Managing Director, Global Compliance, Goldman Sachs (Asia) LLC
John Kim ~ Senior Managing Director, Capital Markets, CVC Asia Pacific Limited
Angelina Kwan ~ Managing Director, Head of Regulatory Compliance, Hong Kong Exchanges and Clearing Limited
Vikram Lamba ~ Leveraged and Acquisition Finance, Global Banking Asia-Pacific, The Hongkong and Shanghai Banking Corporation Limited
David PW Lau ~ Managing Director & Head of Global Investment Banking, Hong Kong, J.P. Morgan
Paul Lin ~ JunHe
Yuto Matsumura ~ Mori Hamada & Matsumoto
Stephen Monick ~ Global Corporate and Investment Banking Counsel, Legal Department, Merrill Lynch (Asia Pacific) Ltd
Jason Y. Ng ~ CIB Legal-Asia Pacific, Head of Debt Capital Markets, BNP Paribas
Fiona Phillips ~ Deputy General Counsel, RBWM Lead Lawyer Asia Pacific, The Hongkong and Shanghai Banking Corporation Limited
David Poureshagh ~ Managing Director and Associate General Counsel, JPMorgan Chase Bank N.A.
Tim Tesluk ~ Managing Director, Head of Compliance, Asia Pacific Global Markets, State Street
Steven D. Winegar ~ Paul Hastings
Sally Wong ~ Chief Executive Officer, Hong Kong Investment Funds Association
Anna Xu ~ Executive Director and Associate General Counsel, JPMorgan Chase Bank N.A.
David H. Zemans ~ Milbank, Tweed, Hadley & McCloy
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute
Hong Kong Seminar Location

Freshfields Bruckhaus Deringer, Two Exchange Square, 36th Floor, Hong Kong.

Hong Kong Hotel Accommodations

Please contact Melissa Katz at mkatz@pli.edu for hotel information.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live seminars qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

California:  PLI’s live seminars qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Illinois: All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Iowa:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Kansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Louisiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Maine:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Minnesota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Mississippi:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Missouri:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Montana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nebraska:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nevada:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Mexico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live seminars can be used to fulfill the requirements for newly admitted attorneys. All credit categories may be earned via transitional live seminars.

North Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars

North Dakota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Ohio:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oklahoma:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Puerto Rico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Rhode Island:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

South Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Tennessee:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Vermont:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live seminars qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

West Virginia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wisconsin:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wyoming:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live seminars qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live seminars qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC): PLI’s live seminars can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live seminars qualify as “live” credit. There is no limit to the number of points an attorney can earn via live seminars.

United Kingdom (CPD-UK):  PLI’s live seminars can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live seminars qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via live seminars.

Other Credit Types

CPE Credit (NASBA): PLI’s live seminars qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE): PLI’s live seminars may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live seminars may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live seminars may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live seminars may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live seminars qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live seminars qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live seminars may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live seminars may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live seminars may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live seminars may fulfill CFP credit requirements.

 

Related Items

Handbook  Course Handbook Archive

Sixth Annual Institute on Corporate & Securities Law in Hong Kong 2018  
Fifth Annual Institute on Corporate & Securities Law in Hong Kong 2017 James Grandolfo, Milbank, Tweed, Hadley & McCloy
Yvette Rodriguez, Deutsche Bank
Stephen Revell, Freshfields Bruckhaus Deringer
 
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