[Webinar] Regulatory Insight – Power of Investigation and Prosecution of the SFC

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.

Content

1. Structure of Enforcement Division of the SFC
2. Investigation power of the SFC under Securities and Futures Ordinance
3. An overview of market malpractice and relevant ordinances
4. Other crimes related to market malpractice
5. An overview of SFC Code of Conduct
6. Market malpractice case sharing

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.

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

Details

Code

TPRCR21002602

Date & Time

Monday, 10 May 2021 (6:30PM - 9:30PM)

Venue

Virtual Platform

Relevant Subject

Type 1 - Dealing in securities

Type 2 - Dealing in futures contracts

Type 3 - Leveraged foreign exchange trading

Type 4 - Advising on securities

Type 5 - Advising on futures contracts

More

Language

Trad. Chi / Cantonese

Hours

SFC:3.00, PWMA:3.00