Lessons Learned on Recent SFC Enforcement Cases
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.
1. Lessons learned from selected SFC enforcement cases
2. Recap of the key regulatory requirements on licensed persons, intermediaries supervision, ROs and management
3. Recent updates on regulatory requirements over the last 12 months that are related to Type 1,4 and 6 regulated activities
Who should attend
This course is primarily targeted to those who are licenced under SFC.