[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.
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.