Compliance, Legislative & Regulatory Standards

[網上研討會]: 近期證監會執法個案學習

概要

課程闡述最近的監管發展情況及主要要求,以避免出現違反合規問題。

內容

1. 從SFC執行案例中吸取教訓
2. 對持牌人、中介機構的監管、負責人員及管理層的重點要求
3. 關於涉及1,4和6類受管制活動過往12個月更新的監管要求

對象

本課程適合證監會持牌人士報讀

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
TPRCR20001901
日期及時間
2020年6月1日, 星期一 (6:30下午 - 9:30下午)
地點
虛擬平台
相關主題
第1類 - 證券交易
第4類 - 就證券提供意見
第6類 - 就機構融資提供意見
語言
Trad. Chi / 廣東話
課程時數
SFC:3.00, PWMA:3.00

Please note: This webinar will be delivered via WebEx.  To qualify for CPT/OPT hours, participants are required to attend the full webinar.

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