Overview
The imposition of heavy fines on some sponsors for their failures in March, the issue of FATF AML report in September and the continued adoption of “front-loaded” regulatory approach by the SFC have made 2019 an unforgettable year in regulatory matters. It is foreseeable that the SFC will continue to focus on investors protection and will enhance regulations and guidance for areas like anti-money laundering, senior management accountability and Fintech.
This seminar will review the work done by the SFC in the past 12 months and look towards the regulatory trend in 2020.
Content Highlight
1. Anti-money laundering and financial crime
2. Senior management accountability
3. Fintech (blockchain, STOs, digital assets)
4. Regulatory investigations and recent enforcement trends.
Who Should Attend
This course is mainly targeted to senior management, responsible officers, compliance officers and practitioners who would like to gain knowledge of the key issues which the SFC had focused on in the last 12 - 18 months.
Instructor / Speaker
Jill WONG
She was previously Deputy General Counsel at the Hong Kong Monetary Authority and was in-house counsel as Head of the Asia-Pacific Regulatory Advisory Group, Legal and Compliance at Credit Suisse. In addition, Jill worked in leading international law firms in Hong Kong. This unique combination allows her to provide in-depth and constructive insights into the issues and challenges facing listed companies, financial institutions, their senior managers and professional advisers.
Jill is regularly quoted in the media, speaks at major international and regional conferences, and provides comments on regulatory initiatives. She served on the Disciplinary Panel of the Hong Kong Institute of Chartered Accountants for seven years and is currently the Chairman of the British Chamber of Commerce’s Financial Markets Committee in Hong Kong.