[Webinar]: Lessons Learned on Recent SFC Enforcement Cases

Overview

The course aims to update the target learners on the recent regulatory development and reinforce the key requirements to avoid the compliance issues using recent SFC enforcement cases.

Content

1. Lessons learned from selected SFC enforcement cases
2. Recap of the key regulatory requirements on licensed persons, intermediaries supervision, ROs and management
3. Recent updates on regulatory requirements over the last 12 months that are related to Type 1,4 and 6 regulated activities

Who should attend

This course is primarily targeted to those who are licenced under SFC.

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

TPRCR20001901

Date & Time

Monday, 1 Jun 2020 (6:30PM - 9:30PM)

Venue

Virtual Platform

Relevant Subject

Type 1 - Dealing in securities

Type 4 - Advising on securities

Type 6 - Advising on corporate finance

Language

Trad. Chi / Cantonese

Hours

SFC:3.00, PWMA:3.00

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