Duties and Liabilities of Responsible Officers

Duties and Liabilities of Responsible Officers

Overview

The course aims to reinforce the general functions and specific duties and liabilities of a Responsible Officer under the Securities and Futures Ordinance (Cap.571) through sharing of key legal and/or enforcement cases.

Content

1. Appointment of a Responsible Officer
2. Functions and general duties of a Responsible Officer
3. Duties and liabilities of a responsible officer under Securities and Futures Ordinance
4. Business Conduct and Codes of Conduct applicable to a Responsible Officer
5. Investigations under Securities and Futures Ordinance
6. Other related matters
- - Insider dealing
- - Money laundering
7. Securities and Futures Appeal Tribunal

Who should attend

This course is primarily targeted to Responsible Officers.

Senior Executives, Compliance Officers and experienced practitioners of securities companies and SFC licensed corporations may find this course relevant provided that prior knowledge of the subject is assumed.

Financial Incentive Scheme of the WAM Pilot Programme

This is one of the eligible courses / seminars under the Financial Incentive Scheme (“The Scheme”) of the WAM Pilot Programme.

Eligible in-service practitioners of the financial services industry could apply for a reimbursement up to 80% of the course / seminar fees, or a maximum of HK$10,000 per person throughout the period of 1 October 2016 to 31 March 2023 upon satisfactory completion.

Each individual may apply for reimbursement for more than one course / seminar subject to a maximum of HK$10,000 but each course / seminar can only be reimbursed once.

The duly signed application form together with the FIVE supporting documents must be submitted within FOUR months from the last day of the course / seminar attended. Please refer to the WAM Pilot Programme website for more details.

Speaker/Course Instructor

Simon CHAN
Mr. Simon Chan is a practising barrister specialising in commercial, securities and banking law. Prior to joining the legal profession, Mr. Chan had been working in banking and finance field (including corporate finance and futures dealing) in Hong Kong and Southeast Asia for over 15 years.

Details

Code
TPRCR20001204
Date & Time
Tuesday, 28 Jul 2020 (6:30PM - 9:00PM)
Wednesday, 29 Jul 2020 (6:30PM - 9:00PM)
Venue
HKSI Institute Training Centre
Language
Cantonese
Level
Intermediate
Hours
SFC:5.00, PWMA:5.00
Fees
All Member: HK$1350
Staff of Corporate Member: HK$1350
Non-Member: HK$2700