Compliance, Legislative & Regulatory Standards

[Webinar] Essentials of Responsible Officers


This course aims to provide an overview of the general requirements, functions and specific duties and liabilities of a Responsible Officer (“RO”) under the Securities and Futures Ordinance.

During this one-hour course we will highlight the essentials an RO should know and follow in their role and regulatory responsibilities by reviewing SFC publications and learning some dos and don’ts from recent enforcement case studies.


By the end of this webinar, the participants will be refreshed on the duties and liabilities of a RO, the Manager-in-Charge (“MIC”) regime and the latest enforcement cases on RO and MIC.


• Appointment and pre-requisite of a RO
• Functions and duties of a RO
• Liabilities of a RO under SFO
• SFC Enforcement Cases on RO
• CPT Requirements
• RO under the MIC Regime

Who should attend

The course is targeted to Responsible Officers including those who wish to apply to be Responsible Officers, current Executive Officers, Manager-in-Charge and Compliance professionals.

Speaker/Course Instructor

Mr James has over 20 years of international banking experience, which includes risk management, debt capital markets, derivatives trading and investments. He began his career as a derivative risk analyst with a Canadian Bank in Toronto before moving to London, focusing on debt capital markets and derivatives, working for several large international banks as Director of European Derivatives Marketing.

Following 8 years in the UK, he moved to Asia in 1991, working for a large international investment bank and later became the Head of Investment Advisory Group of their Private Bank in Hong Kong. He was the Head of Investment Services, Advisory and Discretionary for two boutique Swiss private banks and most recently he has worked as a consultant, lecturer and as a Responsible Officer for a Broker and Asset Management Company in Hong Kong.

Mr James obtained an Honors business degree from Wilfrid Laurier University, Waterloo Canada, and an MBA from the University of Toronto, Toronto Canada.


Date & Time
Friday, 9 Jun 2023 (12:30PM - 1:30PM)
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:1.00, PWMA:1.00