Compliance, Legislative & Regulatory Standards
[In-person] 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.
Financial Incentive Scheme of the WAM Pilot Programme
This course has already been approved as an eligible course of the Financial Incentive Scheme for Professional Training (“the Scheme”) under the Pilot Programme to Enhance Talent Training for the Asset and Wealth Management Sector (“the Pilot Programme”). The Scheme aims to enhance the competency and professionalism of in-service practitioners within the asset and wealth management sector and to assist other practitioners within the financial services industry in acquiring the knowledge and skills required for entering the sector. Eligible applicants will be subsidised 80% of the course fees by the HKSAR Government upon satisfactory completion of the courses approved by Hong Kong Securities and Investment Institute, subject to a ceiling of HK$15,000. Hong Kong Securities and Investment Institute is appointed as the implementation agent of the Pilot Programme. Regarding the details of eligible criteria and application procedures, please refer to the dedicated web-site of the Pilot Programme (https://www.wamtalent.org.hk/).