Compliance, Legislative & Regulatory Standards

[Webinar] Discharging the Responsibilities of Responsible Officers

概要

Over the years, enforcement activities conducted by the Securities and Futures Commission highlighted a number of compliance issues of which the Responsible Officers (“ROs”) should be aware and take appropriate actions, if any, to ensure that the licenced corporations comply with the regulatory requirement.

This course aims to help ROs discharge their responsibilities on compliance by highlighting some of the common issues derived from enforcement cases and sharing ways to deal with them.

內容

1. Common problems in a licensed corporation with relevant enforcement cases
2. Handling the problems
3. Disciplinary actions and notification to the SFC if warranted

對象

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

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
TPRCR23017802
日期及時間
2023年6月12日, 星期一 (6:30下午 - 8:30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
更多
語言
英文
課程時數
SFC:2.00, PWMA:2.00