Regulatory Developments in 2019 and Trends in 2020
概要
The imposition of heavy fines on some sponsors for their failures in March, the issue of FATF AML report in September and the continued adoption of “front-loaded” regulatory approach by the SFC have made 2019 an unforgettable year in regulatory matters. It is foreseeable that the SFC will continue to focus on investors protection and will enhance regulations and guidance for areas like anti-money laundering, senior management accountability and Fintech.
This seminar will review the work done by the SFC in the past 12 months and look towards the regulatory trend in 2020.
內容
1. Anti-money laundering and financial crime
2. Senior management accountability
3. Fintech (blockchain, STOs, digital assets)
4. Regulatory investigations and recent enforcement trends.
對象
This course is mainly targeted to senior management, responsible officers, compliance officers and practitioners who would like to gain knowledge of the key issues which the SFC has focused on in the last 12 - 18 months.
先導計劃 - 專業培訓資助計劃
本課程乃提升資產財富管理業人才培訓先導計劃 - 專業培訓資助計劃所涵蓋之合資格課程/ 研討會 /會議。
合資格之金融服務業現職從業員只要圓滿修畢本計劃所涵蓋課程 / 研討會 /會議 的一個單元，便可於本計劃的三年期內申請發還80%學費或上限7,000元(以數額較少者為準)。
申請人可申請多於一個課程 / 研討會 /會議的資助。
申請表必須於完成課程 / 研討會 /會議 當日起計４個月內連同所需文件一併送交香港證券及投資學會。詳情請參考先導計劃網站。
導師/講者
She was previously Deputy General Counsel at the Hong Kong Monetary Authority and was in-house counsel as Head of the Asia-Pacific Regulatory Advisory Group, Legal and Compliance at Credit Suisse. In addition, Jill worked in leading international law firms in Hong Kong. This unique combination allows her to provide in-depth and constructive insights into the issues and challenges facing listed companies, financial institutions, their senior managers and professional advisers.
Jill is regularly quoted in the media, speaks at major international and regional conferences, and provides comments on regulatory initiatives. She served on the Disciplinary Panel of the Hong Kong Institute of Chartered Accountants for seven years and is currently the Chairman of the British Chamber of Commerce’s Financial Markets Committee in Hong Kong.