概要

One rotten apple can spoil the barrel. Building a strong compliance culture would help Licenced Corporations implementing effective measures to ensure no staff knowingly or accidentially violate a law, regulation, rule or internal policies.

As the Responsible Officer of a Licenced Corporation, who bears primary responsibility for compliance with all applicable regulatory standards, is expected to build a strong compliance culture with the top management and develop effective tools to oversee and support the implementation.

內容

This course aims to
• reinforce the importance of building a compliance culture especially for Licenced Corporations and Responsible Officers to discharge their responsibilities
• highlight the key elements to be considered when building a strong compliance culture
• share some of the insights gained from relevant disciplinary cases to illustrate the consequences if a compliance culture is lacking or ineffective

對象

The course is primarily targeted for Responsible Officers, Managers-in-charge and directors of licensed corporations are strongly encouraged to attend.