Compliance, Legislative & Regulatory Standards

[Webinar] Discharging the responsibilities of Responsible Officers

Overview

Over the years, enforcement activities conducted by the Securities and Futures Commission highlighted a number of compliance issues of which the Responsible Officers (“ROs”) should be aware and take appropriate actions, if any, to ensure that the licenced corporations comply with the regulatory requirement.

This course aims to help ROs discharge their responsibilities on compliance by highlighting some of the common issues derived from enforcement cases and sharing ways to deal with them.

Content

1. Common problems in a licensed corporation with relevant enforcement cases
2. Handling the problems
3. Disciplinary actions and notification to the SFC if warranted

Who should attend

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

Speaker/Course Instructor

Eugene LEE
Mr Lee was the Head of Legal & Compliance of a financial institution and has held various senior positions in the legal and compliance department in financial services and securities firms. Mr Lee obtained his BCom/LLB from University of New South Wales and MBA from University of South Australia. He is a fellow of Institute of Chartered Accountants Australia and New Zealand, member of the Hong Kong Institute of Certified Public Accountants, fellow of the Financial Services Institute of Australasia and senior fellow of the Hong Kong Securities and Investment Institute.

Details

Code
TPRCR23017801
Date & Time
Friday, 31 Mar 2023 (6:30PM - 8:30PM)
Venue
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
More
Language
English
Hours
SFC:2.00, PWMA:2.00
Fees
All Member: HK$540
Staff of Corporate Member: HK$540
Non-Member: HK$1080
Student Member (UHKSI): HK$270