Overview of Legal & Regulatory Framework for Securities & Futures Industry
This intensive course provides a high level overview of the Hong Kong legal and regulatory framework for Securities and Futures Industry including the objectives, functions and roles of key participants and regulators.
Note: Participants who plan to obtain the Certificate of Completion of Asset Management Fundamentals Programme or Back Office Fundamentals for Wealth and Asset Management Programme should attend Module 1 of the respective programme (i.e. the 15-hour version).
The content covered in this course includes:
- Securities industry in HK
- Sources of regulation
- Regulatory overview of the HK financial markets
- Profile of participants in the Securities and Futures Industry
- Hong Kong Corporate Laws and the Companies Ordinance
- Corporate Governance
- Anti-money laundering / Counter Terrorists Financing
- SFC Code of Conduct
- The Securities and Futures Ordinance (SFO)
- Latest regulatory development
- useful websites
- recap of key learning and conclusion