Training Calendar

Lessons learned on recent SFC enforcement cases (TPRCR17003402)

Course Overview

The course aims to update the target learners on the recent regulatory development and reinforce the key requirements to avoid the compliance issues using recent SFC enforcement cases 

Course Content

  • Lessons learned from selected SFC enforcement cases
  • Recap of the key regulatory requirements on licensed persons, intermediaries supervision, ROs and management
  • Recent updates on regulatory requirements over the last 12 months that are related to Type 1, 4 and 6 regulated activities

Course Instructor: Mr. Monty Yuen, B.Comm., LLM, CFP, PFP, CIM, FCSI, CAMS

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.

Who Should Attend

This course is primarily targeted to those who are licenced under SFC.

Administrative Details
Course Code : TPRCR17003402
Date & Time :
  • 21/03/2017 (6:30pm - 9:30pm)
Venue :

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

Language : English
Level : Advanced
Course Hours :
  • 3 CPT hour recognized by SFC
Course Fees :

1. HK$1,050           2. HK$1,500

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