[Webinar] Updates on SFC’s Licensing Initiatives
Mr Wilson Lo, Senior Director of Licensing Department, Intermediaries Division at Securities and Futures Commission (SFC), will have a dialogue with our Board Director, Miss Angelina Kwan, on the key initiatives and latest development of licensing and supervision matters related to intermediaries.
The in-depth discussion will cover the following areas:
• Overview of the key licensing initiatives implemented recently and their impact on market integrity, investor protection, efficiency and/or market orderliness
• Enhancement of the SFC’s gatekeeping functions over the past few years, including digital transformation
• Sharing of the priorities and new initiatives for 2023 and beyond, including the new lisencing regimes
To enjoy a 10% discount on a 3-in-1 package bundle for Regulatory Update Series in June, please click here to enrol in all three webinars at once.
Find out more about the other two webinars by clicking the links below.
[Webinar] Regulatory Developments in Anti-Money Laundering: Implications for Wealth Management Businesses [15 June 2023]
[Webinar] HKEX’s Regulatory Outlook and Priorities [21 June 2023]
Who should attend
All licensed individuals, senior executives, MICs of licensed corporations and professional services firms.
As the Head of the Licensing Department of Intermediaries Division, Wilson is primarily responsible for managing gatekeeping functions of the securities and futures industry and leading various policy reform initiatives relating to market intermediaries such as licensing strategic reform and Manager-In-Charge Regime. Currently, he is a member of the SFC’s Academic and Accreditation Advisory Committee. Previously, he also served as a member of the FSB’s Working Group on Governance Framework. Wilson holds a bachelor degree in accountancy and a master degree in applied finance. He is also a FCPA in Hong Kong and Australia.