Overview of Sponsor Obligations and Common Challenges in Meeting Expectations

New Seminar


The SFC’s sponsor regulatory regime came into effect in October 2013.  Since then, the SFC has carried out a number of inspections and in March 2018 published the results of their thematic review findings.  These primarily related to deficiencies and non-compliance with respect to due diligence, internal systems and controls as well as record retention requirements. However, the industry has continued to experience challenges in the practical implementation of these requirements.


Our speaker will share:

  • A high-level overview of sponsor obligations
  • The key challenges in meeting regulatory expectations
  • Next steps in enhancing the design and implementation of sponsor control frameworks

Speaker/Course Instructor

Michael is a Partner with PwC Hong Kong’s Financial Services Risk and Regulation practice. He has 15 years of diverse experience working with financial institutions and regulators. Michael has more than ten years of experience working in PwC Hong Kong. He also spent four years working with PwC Australia’s Financial Services practice based in Sydney. Michael has broad experience in executing risk and regulatory engagements for large financial institutions, many of which were regulatory driven appointments. These include engagements mandated by the Hong Kong Monetary Authority and the Securities and Futures Commission. Most recently, Michael has been supporting his clients in enhancing their control infrastructure in response to governance, compliance and conduct risks.


Date & Time
Tuesday, 16 Oct 2018 (12:20PM - 1:20PM)
HKSI Institute Training Centre
SFC:1.00, PWMA:1.00