[Webinar] Understanding Senior Management’s Key Responsibilities
概要
This webinar offers a focused overview of the key responsibilities of senior management in Hong Kong’s securities and futures industry.
By the end of the session, participants will gain practical insights into fulfilling their roles effectively, maintaining regulatory standards, and fostering a compliant culture within their organisations.
內容
• General Regulatory Framework
- Overview of Hong Kong’s securities and futures markets
- Relationship between the SFC & front-line supervisors
- Major regulatory guidelines
• Senior Management (“SM”)
- Codes of Conduct and SFC Circulars
- Directors, Responsible Officers/Executive Officers, Managers-in-charge
- Fit and proper requirements
- The SM which SFC contacts in different scenarios
- Appointment, cessation and changes in particulars of SM
- Corporate Governance
- Training requirements
- SM’s responsibilities & legal/regulatory obligations
- Enforcement cases
對象
This course is primarily designed for senior management, including directors, responsible officers/executive officers, and managers-in-charge. Licensed representatives, legal/compliance officers, and experienced practitioners from securities firms and SFC-licensed corporations may also find the course relevant, although prior knowledge of the subject matter is assumed.
導師/講者
Prior to joining Waystone, Leo served as the Head of Compliance for several SFC-licensed corporations (including asset management, securities brokerage and crypto prime brokerage firms, focusing on SFC Type 1, 2, 5, 6, 9 licenses). In addition, as a former auditor and SFC compliance consultant, Leo managed a wide array of regulatory projects for large institutions and SFC-licensed corporations during the time when he was in PricewaterhouseCoopers HK, ACA Compliance Group, and aiM Group. Leo holds a Master’s degree in Accounting from the University of Cambridge and is a qualified member of the HKICPA and GARP (FRM).