Compliance, Legislative & Regulatory Standards
[Webinar] Essentials of Responsible Officers
This course aims to provide an overview of the general requirements, functions and specific duties and liabilities of a Responsible Officer (“RO”) under the Securities and Futures Ordinance.
During this one-hour course we will highlight the essentials an RO should know and follow in their role and regulatory responsibilities by reviewing SFC publications and learning some dos and don’ts from recent enforcement case studies.
By the end of this webinar, the participants will be refreshed on the duties and liabilities of a RO, the Manger-in-Charge (“MIC”) regime and the latest enforcement cases on RO and MIC.
• Appointment and pre-requisite of a RO
• Functions and duties of a RO
• Liabilities of a RO under SFO
• SFC Enforcement Cases on RO
• CPT Requirements
• RO under the MIC Regime
Who should attend
The course is targeted to Responsible Officers including those who wish to apply to be Responsible Officers, current Executive Officers, Manager-in-Charge and Compliance professionals.
He has worked in Toronto, London and since 2001, in Hong Kong. He began his career in investment banking and later held positions as the head of investment advisory and discretionary investment services for Swiss private banks based in Asia.
Mr. James is currently a Responsible Officer for an Asset Management Company in Hong Kong, while in his spare time he operates an independent consulting firm conducting training and seminars on compliance, investments and wealth management topics.
Mr. James holds an MBA from the University of Toronto and is the author of “Interest Rate Derivatives: A Practical Guide to Applications, Pricing and Modelling” published by Riskbooks in 2006.