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

YUEN Mou Chung Monty
Mr. Monty Yuen, holder of B. Comm. and LLM, has over ten years of experience in different capacities in the financial industry and is currently a senior compliance manager of a financial institution. Prior to that, he was a manager of Enforcement Division of Securities & Futures Commission. Prior to joining the financial industry and the SFC, Mr. Yuen was a senior inspector with the Royal Hong Kong Police Force. Mr. Yuen also successfully obtained the CFP, PFP, CIM, FCSI and CAMS designations

Details

Code
TPRCR17001201
Date & Time
Monday, 4 Dec 2017 (6:30PM - 9:00PM)
Tuesday, 5 Dec 2017 (6:30PM - 9:00PM)
Venue
HKSI Institute Training Centre
Language
English
Hours
SFC:5.0, PWMA:5.0