Duties and Liabilities of Responsible Officers
This 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 key legal and enforcement cases.
This is a five-hour training course.
The content covered in this course includes:
- Appointment of a Responsible Officer
- Functions and General Duties of a Responsible Officer
- Duties and Liabilities of a Responsible Officer under the Securities and Futures Ordinance
- Business Conduct and Codes of Conduct applicable to a Responsible Officer
- Investigations under Securities and Futures Ordinance
- Other related matters
- Insider Trading
- Money Laundering
- Securities and Futures Appeal Tribunal