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.
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
Who Should Attend
The webinar is primarily targeted for Responsible Officers. Managers-in-charge and directors of licensed corporations are strongly encouraged to attend.
Instructor / Speaker
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts