[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
TPRCR20001902
日期及時間
2020年9月3日, 星期四 (6:30下午 - 9:30下午)
地點
虛擬平台
語言
英文
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.
You may want to check if WebEx works on your device prior to enrolment, click HERE to test.