Manager-in-Charge (MIC) vs Responsible Officer (RO)

Manager-in-Charge (MIC) vs Responsible Officer (RO)

概要

Manager-in-charge (MIC) regime was implemented on 17 October 2017. Under the regime, MICs of overall management oversight and key business line functions are expected to be responsible officers (ROs) who are the vast majority of these MICs. What are the key differences between MIC and RO?

This lunch and learn session will explain the differences, reinforce the key requirements under the MIC regime and discuss some of the practical issues.

內容

1. What is MIC?
2. Key differences between MIC and RO
3. Recap the key requirements under the MIC regime
4. Selected practical issues discussion

對象

It is primarily targeted to those who are or going to be the MICs. Target audience should have attended the HKSI Institute’s eCourse “Introduction to the Manager-In-Charge (MIC) Regime” prior to attending this lunch and learn session.

導師/講者

袁茂松
Mr. Monty Yuen, holder of B. Comm. and LLM, has over ten years of experience in different capacities in the financial industry and is currently a senior compliance manager of a financial institution. Prior to that, he was a manager of Enforcement Division of Securities & Futures Commission. Prior to joining the financial industry and the SFC, Mr. Yuen was a senior inspector with the Royal Hong Kong Police Force. Mr. Yuen also successfully obtained the CFP, PFP, CIM, FCSI and CAMS designations

詳情

活動編號
TPRCR19007801
日期及時間
2019年3月11日, 星期一 (12:20下午 - 1:20下午)
地點
香港證券及投資學會培訓中心
語言
英文
級別
Advanced
課程時數
SFC:1.00, PWMA:1.00
請選擇語言
ENG