Compliance
[Webinar] Compliance Tips on the Obligations and Cooperation under the FDRS
Overview
Compliance is one of the guiding principles of the conduct of persons licensed by or registered with the Securities and Futures Commission. Under paras 12A, 12.3, and 12.6 of the Code of Conduct, such persons (except those carrying on Type 10 regulated activities only) are obliged to follow, and co-operate in, the mediation and arbitration processes administered by the Financial Dispute Resolution Centre (the FDRC). This course explains clients’ right to refer monetary disputes to the FDRC, the scope of its services, compliance requirements, and consequences of breach.
Content
• Purpose and membership of the Financial Dispute Resolution Scheme (the FDRS)
• Scope of service, service flow, and fees of the FDRS
• Compliance requirements on the part of licensed or regulated persons
• Consequences of non-compliance
Who should attend
This webinar is targeted at all licensed or regulated persons, except those carrying on Type 10 regulated activities only
Speaker/Course Instructor
Ms Koo is a disputes specialist, with experience in professional practice, legal scholarship, lecturing and corporate training, and regulatory enforcement for more than 18 years. She was called to the Hong Kong Bar in 2005. She was later accredited as General and Family Mediator, and awarded Fellowship of the Chartered Institute of Arbitrators. From 2018 to 2022, she was appointed the Director of the Judicial Institute at the Hong Kong Judiciary.
Ms Koo previously held a number of public roles, including Chair of the Buildings Appeal Tribunal, Chair of the Hong Kong Institute of Certified Public Accountants Disciplinary Panel, Member of the Higher Rights Assessment Board, Member of the Department of Justice Special Committee on Evaluative Mediation, and Member of the University of Hong Kong Discontinuation Committee.
Ms Koo holds a Bachelor of Laws from King’s College London, and a Master of Laws in Information Technology and Telecommunications Law from the University of Strathclyde. She attended mediation and negotiation programmes at Harvard Law School. At present, she is reading for a Doctor of Philosophy in Law at the University of Oxford.