Duties and Liabilities of Responsible Officers

Duties and Liabilities of Responsible Officers

Overview

The course aims to reinforce the general functions and specific duties and liabilities of a Responsible Officer under the Securities and Futures Ordinance (Cap.571) through sharing of key legal and/or enforcement cases.

Content

1. Appointment of a Responsible Officer
2. Functions and general duties of a Responsible Officer
3. Duties and liabilities of a responsible officer under Securities and Futures Ordinance
4. Business Conduct and Codes of Conduct applicable to a Responsible Officer
5. Investigations under Securities and Futures Ordinance
6. Other related matters
- Insider dealing
- Money laundering
7. Securities and Futures Appeal Tribunal

Who should attend

This course is primarily targeted to Responsible Officers. 

Senior Executives, Compliance Officers and experienced practitioners of securities companies and SFC licensed corporations may find this course relevant provided that prior knowledge of the subject is assumed.

Financial Incentive Scheme of the WAM Pilot Programme

This is one of the eligible courses under the Financial Incentive Scheme (“The Scheme”) of the WAM Pilot Programme.

In-service practitioners of the financial services industry will be eligible for the Scheme. They will be reimbursed 80% of the course fees, subject to a maximum of HK$7,000 (whichever is the lower) upon satisfactory completion of a course or seminar over the three-year period of the Scheme.

Each individual may apply for reimbursement for more than one course / seminar.

Application to reimburse the course fees, together with the required documents, must be submitted within four months from the last day of the course attended.

Please refer to the WAM Pilot Programme website for more details.

Speaker/Course Instructor

CHAN Bo Ching Simon
Mr. Simon Chan is a practising barrister specialising in commercial, securities and banking law. Prior to joining the legal profession, Mr. Chan had been working in banking and finance field (including corporate finance and futures dealing) in Hong Kong and Southeast Asia for over 15 years.

Details

Code
TPRCR17002802
Date & Time
Thursday, 28 Sep 2017 (6:30PM - 9:00PM)
Tuesday, 3 Oct 2017 (6:30PM - 9:00PM)
Venue
HKSI Institute Training Centre
Language
Cantonese
Hours
SFC:5.0, PWMA:5.0