Introduction to the Manager-In-Charge (MIC) Regime

Introduction to the Manager-In-Charge (MIC) Regime

概要

The overall aim of this eCourse is to ensure all the licensed corporations (LC) understand the Manager-In-Charge (MIC) regime requirements and carried out the procedures as stated in the Securities and Futures Commission (SFC)’s circulars.

宗旨

By the end of this course, learners will be able to:
- Explain the background of the Manager-In-Charge (MIC) Regime
- Define who should be regarded as members of senior management of a licensed corporation (LC)
- Explain the roles and responsibilities of an LC’s board of directors
- Identify the eight core functions with at least one individual assigned as MIC
- Identify the regulatory obligation and potential liabilities of Senior Management
- Describe the documentation to be submitted for MIC on the SFC online Portal

內容

1. Introduction
2. Background of MIC
3. Meaning of Senior Management
4. Roles and Responsibilities of Board
5. Core Functions of a Licensed Corporation
6. Attributes of an MIC
7. Standard of Conduct expected of Senior Management
8. Legal Liabilities of Senior Management
9. Submission of MIC Information

對象

1. All individuals who are interested in learning about the MIC regime.
2. Those have been, or will be appointed by the Licensed Corporations (LCs) as the MIC, especially they are not the Responsible Officers (ROs) of the LCs.

詳情

活動編號
TERCR17005201
地點
網上平台
語言
英文
級別
Introductory
課程時數
SFC:0.50, PWMA:0.50
費用
會員 / 非會員: HK$0