Compliance, Legislative & Regulatory Standards

[Webinar] Compliance Culture: Responsible Officers Should Know


One rotten apple can spoil the barrel. Building a strong compliance culture would help Licenced Corporations implementing effective measures to ensure no staff knowingly or accidentially violate a law, regulation, rule or internal policies.

As the Responsible Officer of a Licenced Corporation, who bears primary responsibility for compliance with all applicable regulatory standards, is expected to build a strong compliance culture with the top management and develop effective tools to oversee and support the implementation.


This course aims to
• reinforce the importance of building a compliance culture especially for Licenced Corporations and Responsible Officers to discharge their responsibilities
• highlight the key elements to be considered when building a strong compliance culture
• share some of the insights gained from relevant disciplinary cases to illustrate the consequences if a compliance culture is lacking or ineffective

Who should attend

The course is primarily targeted for Responsible Officers, Managers-in-charge and directors of licensed corporations are strongly encouraged to attend.

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
Friday, 9 Dec 2022 (6:30PM - 8:30PM)
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
SFC:2.00, PWMA:2.00