Compliance, Legislative & Regulatory Standards
A High Level Review of the Regulatory Trends in the Securities Industry (2018)
This course aims at highlighting the latest development of the regulatory trends through discussion and analysis of a few major regulatory cases since the 2008 Lehman Brothers Mini Bond issues.
On completion of the course, participants will be able to:
1. tell the major regulatory concerns of the regulatory body
2. tell the potential control issues associated with the regulatory cases
3. describe the possible solutions to deal with the potential control issues
1. Categorisation of the regulatory cases since the 2008 Lehman Brothers Mini Bond issues
2. Highlight of the potential control issues of some key cases
3. Discussion on the possible solutions to deal with the potential control issues of the above cases
4. Discussion on the coming regulatory concerns
Who should attend
The course is mainly targeted to senior financial services and securities practitioners who should be familiar with the latest development of the regulatory regime.
Mr. Chow is a Fellow Member of the Association of Chartered Certified Accountants and the Hong Kong Institute of Certified Public Accountants, Member of the Hong Kong Securities and Investment Institute, and Member of the American Association of Certified Fraud Examiners. He is a Financial Reporting Review Panel Member of the Financial Reporting Council and a Panel Member of the Resolvability Review Tribunal.