Updates on PRC Regulatory Enforcement: Anti-Corruption & Market Misconduct Investigations

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Save the dateJuly 12, 201812:00 PM - 1:45 PMGMT+8 Add to Calendar

Venue Location

The American Chamber of Commerce in HK

1904 Bank of America Tower, 12 Harcourt Road
Central, Hong Kong SAR (China)

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Organizer

Organizer: AmCham HK

Phone: +852 25306900

Contact Person: Natalie Yu

Email: nyu@amcham.org.hk

Details

Davis Polk and Navigant will do a joint presentation on recent developments in government investigations in China. The presentation will include case studies on anti-corruption investigations by the State Administration for Market Regulation (formerly the State Administration for Industry and Commerce) and market misconduct investigations by the Chinese Securities Regulatory Commission.

It will also discuss the recent reorganization of PRC enforcement authorities, including the consolidation of anti-corruption enforcement into the National Supervision Commission, and how these changes may impact foreign business operating in China.

First 15-20 minutes is for networking

Sandwiches and beverages included

Hosted by the Law Committee

Speakers

Kate Chan

Managing Director, APAC of Navigant Consulting Asia Ltd

Kate Chan

Managing Director, APAC of Navigant Consulting Asia Ltd

Leading Navigant’s global Legal Technology Solutions practice in Asia Pacific, Kate has more than twenty years of experience managing cross border litigation and internal/regulatory investigations involving data. This experience covers sectors including financial services, manufacturing, telecommunications, pharmaceutical, airlines, auto-parts, and trading, having advised on a number of multi-jurisdiction matters across Greater China, Japan, Singapore, Southeast Asia, and Australia.

Cases have involved the investigation of corrupt business practices, employee fraud, sanction violations, antitrust investigations and other commercial or intellectual property disputes. Kate is a trusted advisor and provides a consultative approach to designing the most appropriate digital forensics and data strategy to meet client needs while minimizing business risk and disruption.

Additionally, Kate has experience balancing U.S, European and UK discovery obligations with local data privacy requirements and statutes such as China State Secrets impacting cross-border data transfer. This includes creating discovery workflows within country or even within a corporation’s offices. Across the distinct markets in Asia, Kate is familiar with managing local culture and challenges affecting legal hold, data preservation, preparing and processing data, working with legal teams and translating the requirements into a language clients can understand to ensure a successful outcome. Bridging the gap for Asia clients, Kate is regularly retained to provide advice on information governance, compliance, and litigation preparedness. She is also a frequent speaker and sought by media to comment on these emerging practices and technology.

Prior to joining Navigant, Kate helped to launch Kroll’s Legal Technologies practice in Asia. She developed markets, a team and lead the practice. Kate was also previously a lawyer practicing in New York and founding partner in a technology start-up with a focus on Asia.

Patrick Sinclair

Partner at Davis Polk & Wardwell

Patrick Sinclair

Partner at Davis Polk & Wardwell

Mr. Sinclair is a partner in Davis Polk’s Litigation Department, resident in Hong Kong. His practice focuses on white collar criminal defense matters and government and internal investigations.

Mr. Sinclair has more than a decade of experience representing U.S.-based and international corporations, audit committees, banks, individuals, and the government in corporate criminal investigations. He regularly leads internal investigations for multinational corporations in Asia, and has represented a number of individuals in Asia who were the subject of inquiries from U.S.
Attorneys’ Offices, the SEC, CFTC and other U.S. regulators.

From 2007 to 2014, Mr. Sinclair was a prosecutor in the U.S. Attorney’s Office for the Eastern District of New York, where he investigated and prosecuted individuals and organizations in connection with the 2008 economic collapse, and handled cases involving the FCPA, OFAC, the mail, wire and securities fraud statutes, the Travel Act, money laundering statutes, the Lacey Act, and the Bank
Secrecy Act. He was appointed Deputy Chief of the General Crimes Section in 2013. In addition to supervising prosecutors conducting investigations, hearings, trials and appeals, he served as lead prosecutor in a case convicting a CEO of commercial bribery, FCPA violations and tax evasion.

In recognition of his achievements at the U.S. Attorney’s Office, Mr. Sinclair received the U.S. Attorney’s Excellence in Criminal Litigation Award, as well as commendations from the SEC, FBI and U.S. Treasury.

Bernard, Chen Zhu

Counsel – Registered Foreign Lawyer at Davis Polk & Wardwell

Bernard, Chen Zhu

Counsel – Registered Foreign Lawyer at Davis Polk & Wardwell

Mr. Zhu is counsel in Davis Polk's Litigation Department, currently practicing as a Registered Foreign Lawyer in Hong Kong. He relocated from the firm’s New York office to Hong Kong in 2013. He represents multinational corporations, financial institutions and individuals in cross-border regulatory enforcement and internal investigations relating to the Foreign Corrupt Practices Act, U.S. economic
sanctions, anti-money laundering, market manipulation, securities fraud and related governance and compliance advice.

Mr. Zhu has extensive experience in compliance due diligence for M&A and IPO transactions. He also has experience in U.S.-based civil litigation involving Asia based defendants. He has represented clients in banking, health care, technology, entertainment, insurance and hospitality, with a particular focus in China, Japan and Southeast Asia. Mr. Zhu also frequently advises on risks associated with state secrecy, data privacy and cross-border data export issues.

Tickets

Member

Member Price HKD 390

Non-member

HKD 550

Cancellation Policy

• All cancellations must be notified in writing at least two working days prior to the event, or six working days prior to the conference. No-shows will be charged
• When Typhoon 8 (or above) or Black Rainstorm Signal is hoisted, all events will be cancelled

Updates on PRC Regulatory Enforcement: Anti-Corruption & Market Misconduct Investigations

Before and After the Government Restructuring

Kate Chan

Managing Director, APAC of Navigant Consulting Asia Ltd

Patrick Sinclair

Partner at Davis Polk & Wardwell

Bernard, Chen Zhu

Counsel – Registered Foreign Lawyer at Davis Polk & Wardwell

Member

Non-member