SFC Important Codes and Guidelines on Business Conduct
Under the Securities and Futures Ordinance (SFO) (section 169), the SFC has specific power to publish codes of conduct for the purpose of giving guidance relating to the practices and standards with which intermediaries and their representatives are expected to comply.
This course provides an overview of various codes and guidelines and the consequences of failure to comply a provision therein. The Code of Conduct for persons Licensed by or Registered with the Securities and Futures Commission is generally applicable to all licensed and registered persons.
1. Code of Conduct for persons Licensed by or Registered with the Securities and Futures Commission
2. Fund Manager Code of Conduct
3. Corporate Finance Adviser Code of Conduct
4. Code of Conduct for Persons providing Credit Rating Services
5. The Code of Conduct for Share Registrars
6. Management, Supervision and Internal Control Guidelines for persons Licensed by or Registered with the Securities and Futures Commission
7. Introduction to Guideline on Anti Money Laundering/Counter Terrorist Financing
8. Consequences of Infringement
This course is mainly targeted to industry practitioners or professionals who would like to gain a general knowledge of codes and guidelines issued by the Securities and Futures Commission.
Mr Lee obtained his BCom/LLB from University of New South Wales and MBA from University of South Australia. He is a member of Institute of Chartered Accountants in Australia, member of the Hong Kong Institute of Certified Public Accountants, fellow of the Financial Services Institute of Australasia and senior fellow of the Hong Kong Securities and Investment Institute.