[Webinar] Regulatory Insight – Power of Investigation and Prosecution of the SFC
概要
本課程介紹證監會在調查及檢控過程中所擔任之角色以及法定權力,從而令參加者對證監會之工作有更深認識。有關一系列之巿場違規行為,例如造巿、內幕交易及非法沽空等案例會作出討論。
內容
1. 證監會法規執行部之架構
2. 在《證券及期貨條例》下證監會之權力
3. 巿場違規行為及有關法例之概論
4. 與巿場違規有關連之罪行
5.《註冊人士規則》之概論
6. 巿場違規行為相關之個案研究
對象
此課程適合從事證監會不同種類受規管活動的註冊行政人員及主管、內部/外部核數師、監察主任及內部監控主任。
導師/講者
袁茂松
Mr. Monty Yuen, holder of B. Comm. and LLM, has over twenty years of experience in different capacities in the financial industry and is currently a senior compliance manager of a financial institution. He also obtained various industry recognised designations including CFP, PFP, CIM, FCSI and CAMS.
Prior to joining the financial industry, he was a manager of the Enforcement Division of the Securities & Futures Commission. Prior to that, Mr. Yuen was a senior inspector with the Royal Hong Kong Police Force.
Prior to joining the financial industry, he was a manager of the Enforcement Division of the Securities & Futures Commission. Prior to that, Mr. Yuen was a senior inspector with the Royal Hong Kong Police Force.
詳情
活動編號
TPRCR24002602
日期及時間
2024年6月17日, 星期一 (6:30下午 - 9:30下午)
地點
虛擬平台
相關主題
語言
英文
課程時數
SFC:3.00, PWMA:3.00