Compliance
[In-person] Handling SFC Inspections – Getting through the Opening Meeting
Overview
This workshop provides practical guidance on how licensed individuals can effectively prepare for an SFC inspection. With increasing scrutiny and thematic inspections from the SFC in Hong Kong, firms are expected to demonstrate a robust governance, documentation and compliance framework.
Participants will gain practical insight into what to expect during an SFC inspection opening meeting through a realistic scenario-based walkthrough.
Content
1. SFC’s Mission Statement, Objective and Structure
2. Pre-Inspection Preparation
3. Background of the SFC Inspection
4. The Flow of an SFC Inspection
5. Important Notes for Documents Submission, Opening Meeting and Interview
6. Preparation for the Opening Meeting
7. Opening Meeting – Scenario Case
8. Relevant SFC Updates and Enforcement Cases
9. Interactive Discussions
Note:
This session is arranged in Central. Kindly check the venue information for details.
Special thanks to Waystone for sponsoring the venue.
Who should attend
This interactive session primarily targets senior management including directors, MICs, ROs, asset managers, compliance officers and family office professionals. Other practitioners of licensed corporations are also welcome to attend.
Speaker/Course Instructor
Prior to joining Waystone, Leo served as the Head of Compliance for several SFC-licensed corporations (including asset management, securities brokerage and crypto prime brokerage firms, focusing on SFC Type 1, 2, 5, 6, 9 licenses). In addition, as a former auditor and SFC compliance consultant, Leo managed a wide array of regulatory projects for large institutions and SFC-licensed corporations during the time when he was in PricewaterhouseCoopers HK, ACA Compliance Group, and aiM Group. Leo holds a Master’s degree in Accounting from the University of Cambridge and is a qualified member of the HKICPA and GARP (FRM).