Compliance, Legislative & Regulatory Standards

[Webinar] 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 twenty years of experience in different capacities in the financial industry and is currently a senior compliance manager of a financial institution. He also obtained various industry recognised designations including CFP, PFP, CIM, FCSI and CAMS.

Prior to joining the financial industry, he was a manager of the Enforcement Division of the Securities & Futures Commission. Prior to that, Mr. Yuen was a senior inspector with the Royal Hong Kong Police Force.


Date & Time
Monday, 18 Jul 2022 (6:30PM - 9:30PM)
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities
Type 4 - Advising on securities
Type 6 - Advising on corporate finance
SFC:3.00, PWMA:3.00