WAM Pilot Programme

Duties and Liabilities of Responsible Officers

This course aims to reinforce the general functions and specific duties and liabilities of a Responsible Officer under the Securities and Futures Ordinance (Cap.571) through sharing key legal and enforcement cases.

This is a five-hour training course.

The content covered in this course includes:

  • Appointment of a Responsible Officer
  • Functions and General Duties of a Responsible Officer
  • Duties and Liabilities of a Responsible Officer under the Securities and Futures Ordinance
  • Business Conduct and Codes of Conduct applicable to a Responsible Officer
  • Investigations under Securities and Futures Ordinance
  • Other related matters
    • Insider Trading
    • Money Laundering
  • Securities and Futures Appeal Tribunal