Business Conduct & Ethical Standards

[Webinar] SFC Important Codes and Guidelines on Business Conduct

概要

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.

內容

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

對象

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.

導師/講者

李廣成
Mr Lee was the Head of Legal & Compliance of a financial institution and has held various senior positions in the legal and compliance department in financial services and securities firms. Mr Lee obtained his BCom/LLB from University of New South Wales and MBA from University of South Australia. He is a fellow of Institute of Chartered Accountants Australia and New Zealand, 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.

詳情

活動編號
TPRBE22000301
日期及時間
2022年5月24日, 星期二 (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2類 - 期貨合約交易
第3類 - 槓桿式外匯交易
第4類 - 就證券提供意見
第5類 - 就期貨合約提供意見
第6類 - 就機構融資提供意見
第7類 - 提供自動化交易服務
第8類 - 提供證券保證金融資
第9類 - 提供資產管理
第10類 - 提供信貸評級服務
第11類 - 場外衍生工具產品交易或就場外衍生工具產品提供意見
第12類 - 為場外衍生工具交易提供客户結算服務
監管合規
語言
英文
課程時數
SFC:3.00, PWMA:3.00