Compliance, Legislative & Regulatory Standards

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.

Speaker/Course Instructor

Monty YUEN
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


Date & Time
Tuesday, 18 Dec 2018 (6:30PM - 9:30PM)
HKSI Institute Training Centre
Relevant Subject
Type 1 - Dealing in securities
Type 4 - Advising on securities
Type 6 - Advising on corporate finance
SFC:3.00, PWMA:3.00