Training Calendar

Regulatory Insight – Power of Investigation and Prosecution of the SFC (TPRCR17002002)

Course Overview
This course introduces regulatory role and power of SFC during its investigation and prosecution process to enable the participants to gain a better understanding about the work of SFC.

Course Content
•    Structure of Enforcement Division of the SFC
•    Investigation power of the SFC under Securities and Futures Ordinance
•    An overview of market malpractice and relevant ordinances
•    Other crimes related to market malpractice
•    An overview of SFC Code of Conduct
•    Market malpractice case sharing

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 executives and supervisors of entities that are licensed / registered for various SFC regulated activities, internal / external auditors, compliance officers and internal control officers.

Administrative Details
Course Code : TPRCR17002002
Date & Time :
  • 31/07/2017 (6:30pm - 9:30pm)
Venue :

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

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

1. HK$750    2. HK$1,080

1. HKSI Institute Individual Member (M00001/FM00001), Student Member (U00001)
or Staff of HKSI Corporate Member (C00001)
2. Standard Price (for Public)