[Webinar]: Duties and Liabilities of Responsible Officers

Overview

The 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 of key legal and/or enforcement cases.

Content

1. Appointment of a Responsible Officer
2. Functions and general duties of a Responsible Officer
3. Duties and liabilities of a responsible officer under Securities and Futures Ordinance
4. Business Conduct and Codes of Conduct applicable to a Responsible Officer
5. Investigations under Securities and Futures Ordinance
6. Other related matters
- - Insider dealing
- - Money laundering
7. Securities and Futures Appeal Tribunal

Who should attend

This course is primarily targeted to Responsible Officers.

Senior Executives, Compliance Officers and experienced practitioners of securities companies and SFC licensed corporations may find this course relevant provided that prior knowledge of the subject is assumed.

Speaker/Course Instructor

Monty YUEN

Mr. Monty Yuen, holder of B. Comm. and LLM, has over ten years of experience in different capacities in the financial industry and is currently a senior compliance manager of a financial institution. Prior to that, he was a manager of Enforcement Division of Securities & Futures Commission. Prior to joining the financial industry and the SFC, Mr. Yuen was a senior inspector with the Royal Hong Kong Police Force. Mr. Yuen also successfully obtained the CFP, PFP, CIM, FCSI and CAMS designations

Details

Code

TPRCR20001202

Date & Time

Monday, 11 May 2020 (6:30PM - 9:00PM)

Tuesday, 12 May 2020 (6:30PM - 9:00PM)

Venue

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

More

Language

English

Hours

SFC:5.00, PWMA:5.00

Please note: This webinar will be delivered via WebEx. To qualify for CPT/OPT hours, participants are required to attend the full webinar.

You may want to check if WebEx works on your device prior to enrolment, click here to test.

Compliance, Legislative & Regulatory Standards