Compliance, Legislative & Regulatory Standards

Introduction to the Manager-In-Charge (MIC) Regime (2022)

概要

The overall aim of this eCourse is to ensure all the licensed corporations (LC) understand the Manager-In-Charge (MIC) regime requirements and carried out the procedures as stated in the Securities and Futures Commission (SFC)’s circulars.

This eCourse is also available in Traditional Chinese and Simplified Chinese.

宗旨

By the end of this course, participants will be able to:
- Explain the background of the Manager-In-Charge (MIC) Regime
- Define who should be regarded as members of senior management of a licensed corporation (LC)
- Describe the roles and responsibilities of a licensed corporation’s board of directors
- Identify the eight core functions with at least one individual assigned as MIC
- Explain the standard of conduct and liabilities of Senior Management
- Identify the MIC information submission requirements on the SFC WINGS

內容

1. Introduction
2. Background of MIC
3. Meaning of Senior Management
4. Roles and Responsibilities of Board
5. Core Functions of a Licensed Corporation
6. Attributes of an MIC
7. Standard of Conduct expected of Senior Management
8. Legal Liabilities of Senior Management
9. Submission of MIC Information

對象

1. All individual who are interested in learning about the MIC regime
2. Those have been, or will be appointed by the Licensed Corporations (LCs) as the MIC, especially they are not the Responsible Officers (ROs) of the LCs

詳情

活動編號
TERCR22015601
地點
網上平台
相關主題
監管合規
語言
英文
級別
Introductory
課程時數
SFC:1.00, PWMA:1.00
費用
所有會員: HK$100
機構會員員工: HK$100
非會員: HK$200
香港中資証券業協會(HKCSA): HK$140