Compliance, Legislative & Regulatory Standards
[Webinar] Duties and Liabilities of Responsible Officers
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.
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.
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.