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, Manger-in-Charge and Compliance professionals.

Speaker/Course Instructor

Mr. James has over 25 years of international banking experience, which includes risk management, debt capital markets, derivatives trading, investment advisory and portfolio management.

He has worked in Toronto, London and since 2001, in Hong Kong. He began his career in investment banking and later held positions as the head of investment advisory and discretionary investment services for Swiss private banks based in Asia.

Mr. James is currently a Responsible Officer for an Asset Management Company in Hong Kong, while in his spare time he operates an independent consulting firm conducting training and seminars on compliance, investments and wealth management topics.

Mr. James holds an MBA from the University of Toronto and is the author of “Interest Rate Derivatives: A Practical Guide to Applications, Pricing and Modelling” published by Riskbooks in 2006.


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