A High Level Review of the Regulatory Trends in the Securities Industry 證券業監管趨勢回顧

A High Level Review of the Regulatory Trends in the Securities Industry 證券業監管趨勢回顧

Overview

This course aims at highlighting the latest development of the regulatory trends through discussion and analysis of a few major regulatory cases since the 2008 Lehman Brothers Mini Bond issues.

On completion of the course, participants will be able to:
1. tell the major regulatory concerns of the regulatory body
2. tell the potential control issues associated with the regulatory cases
3. describe the possible solutions to deal with the potential control issues

Content

1. Categorisation of the regulatory cases since the 2008 Lehman Brothers Mini Bond issues
2. Highlight of the potential control issues of some key cases
3. Discussion on the possible solutions to deal with the potential control issues of the above cases
4. Discussion on the coming regulatory concerns

Who should attend

The course is mainly targeted to senior financial services and securities practitioners who should be familiar with the latest development of the regulatory regime.

Speaker/Course Instructor

CHOW Ka Leung Louis
Mr Chow is the Managing Director, Head of Legal and Compliance of a securities company in Hong Kong. He has more than 20 years of experiences in securities compliance through his role at various international investment banks, the Compliance Division of the Stock Exchange of Hong Kong and the Enforcement Division of the Securities and Futures Commission. Mr Chow is a Fellow Member of the Association of Chartered Certified Accountants and the Hong Kong Institute of Certified Public Accountants, Member of the Hong Kong Securities and Investment Institute, and Member of the American Association of Certified Fraud Examiners.

Details

Code
TPRCR17000102
Date & Time
Friday, 27 Oct 2017 (6:30PM - 9:00PM)
Venue
HKSI Institute Training Centre
Language
Cantonese
Hours
SFC:2.5, PWMA:2.5