Compliance, Legislative & Regulatory Standards
[Webinar]: Regulatory Insight – Power of Investigation and Prosecution of the SFC
This course introduces regulatory role and power of SFC during its investigation and prosecution process to enable the participants to gain a better understanding about the work of SFC.
1. Structure of Enforcement Division of the SFC
2. Investigation power of the SFC under Securities and Futures Ordinance
3. An overview of market malpractice and relevant ordinances
4. Other crimes related to market malpractice
5. An overview of SFC Code of Conduct
6. Market malpractice case sharing
Who should attend
This course is primarily targeted to executives and supervisors of entities that are licensed / registered for various SFC regulated activities, internal / external auditors, compliance officers and internal control officers.
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.