Compliance, Legislative & Regulatory Standards

[Classroom] 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.

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
TPRCR22001204
Date & Time
Tuesday, 8 Nov 2022 (6:30PM - 9:00PM)
Thursday, 10 Nov 2022 (6:30PM - 9:00PM)
Venue
HKSI Institute Training Centre
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:5.00, PWMA:5.00
Fees
All Member: HK$1350
Staff of Corporate Member: HK$1350
Non-Member: HK$2700
Student Member (UHKSI): HK$675