Regulatory Trends 2014

This seminar will look at the main issues and challenges facing the financial services industry in 2014.

It will cover :
1. Areas of continued or increased regulatory scrutiny -
‧Anti money- laundering/terrorist financing
‧Serious misconduct and remedial orders under sections 212/213 of the Securities and Futures Ordinance 
‧Disclosure of inside/price-sensitive information
‧Internal controls and risk management
‧Corporate governance

2. New regulatory initiatives -
‧OTC derivatives reform
‧Auditor oversight
‧Recovery and resolution planning
‧Retail payment systems

3. Related/other legal and compliance issues -
‧The new competition law
‧Development in privacy law
‧Legal privilege

Ms Jill Wong
Speaker: Partner
Howse Williams Bowers

Event Code : ADP032814
Date : 28/3/2014 (Friday)
Time :

9:00am - 9:30am Registration ( tea & coffee)
9:30am - 11:00am Seminar / Q & A

Venue: Training Centre, Hong Kong Securities and Investment Institute
24/F, Wing On Centre, 111 Connaught Road Central, Hong Kong
Language : English
Hours :

1.5 CPD : The Law Society of Hong Kong
1.5 CPT : SFC
(In order to collect full CPT/CPD hours, participants MUST attend the whole course including the question & answer session.)

Fees : Members' Enrolment (HKSI Individual Members(MHKSI, FHKSI, FHKSI (Hon)) and Staff of HKSI Corporate Members) at HK$975 per person
Non-member at HK$1,125 per person


Register now to ensure your seat. For further enquiries, please call us on 3120 6172.