eSeminar - CPT Bearing

SFC Manager-In-Charge Regime Roundtable


This eSeminar is a recorded session of the ‘SFC Manager-In-Charge Regime Roundtable’ webinar held on 5 May 2023.

This eSeminar provides a comprehensive overview of the MIC regime, covering recent enforcement actions, core MIC functions and responsibilities, and regulatory obligations. You will gain insights into the regime's accountability framework and your role in promoting proper conduct. You will also learn about senior management and MIC challenges.


By the end of the eSeminar, you will be able to:
- Refresh your understanding of the MIC regime's objectives, roles, and responsibilities for daily operations and ad-hoc SFC inspections.
- Identify root causes and risks from recent enforcement actions against senior management, including MICs.
- Familiarise yourself with key SFC circulars supplementing MIC roles in specific areas.
- Acquire insights and information to effectively fulfil MIC responsibilities.


1. Recent SFC enforcement actions
2. Implications and challenges for MICs in fulfilling their roles
3. Overview of the MIC regime, including objectives and core function requirements
4. Regulatory expectations and supervisory actions
5. MICs' responsibilities in specific areas
6. Discussion on challenges faced by MICs and senior management

Who should attend

Senior management (including MICs) of licensed corporations and licence applicants, and compliance officers.

Speaker/Course Instructor

Eugene GOYNE
Eugène is EY’s APAC Financial Services Regulatory Leader. He advises global financial institutions, industry associations, regulators and governments on financial regulatory compliance and policy. He has over 30 years in government and senior regulator roles, and joined EY from the SFC.
Rui is Senior Manager, Financial Services Risk Management at EY. Over the course of his career, Rui has developed deep knowledge of risk and regulation across financial services and has extensive experience delivering regulatory advisory and internal control review projects for global financial institutions in both London and Hong Kong.


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
SFC:2.00, PWMA:2.00
All Member: HK$420
Staff of Corporate Member: HK$420
Non-Member: HK$840
Chinese Securities Association of Hong Kong (HKCSA): HK$590