Training Calendar

Duties and Liabilities of Responsible Officers (TPRCR17002801)

Course 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.

Course Contents
• Appointment of a responsible officer
• Functions and general duties of a responsible officer
• Duties and liabilities of a responsible officer under Securities and Futures Ordinance
• Business Conduct and Codes of Conduct applicable to a responsible officer
• Investigations under Securities and Futures Ordinance
• Other related matters
- Insider dealing
- Money laundering
• Securities and Futures Appeal Tribunal

Course Instructor : Mr. Simon B.C. Chan LLB, LLM (Lond), MBA (CUHK), ACIB, AHKIB, MHKSI, ATIHK, CTA Barrister-at-Law
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.

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.

Administrative Details
Course Code : TPRCR17002801
Date & Time :
  • 20/03/2017 (6:30pm - 9:00pm)
  • 23/03/2017 (6:30pm - 9:00pm)
Venue :

Room 510, 5th Floor, Wing On Centre, 111 Connaught Road Central, Hong Kong

Language : Cantonese
Level : Advanced
Course Hours :
  • 5 CPT hour recognized by SFC
Course Fees :

1.HK$1,750  2.HK$2,500

1. HKSI Institute Individual Member (M0001/FM00001), Student Member (U00001)
or staff of HKSI corporate member (C00001)
2. Standard Price (for Public)