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
The webinar is primarily targeted for Responsible Officers. Managers-in-charge and directors of licensed corporations are strongly encouraged to attend.
Eugene LEE
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.
Administrative Details
Date & Time
Monday, 12 Jun 2023 (06:30 PM - 08:30 PM)
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
...More
Type 6 - Advising on corporate finance
Type 6 - Advising on corporate finance - Sponsor
Type 6 - Advising on corporate finance - TC Adviser
Type 7 - Providing automated trading services
Type 8 - Securities margin financing
Type 9 - Asset management
Type 10 - Providing credit rating services
Type 11 - Dealing in OTC derivative products or advising on OTC derivative products
Type 12 - Providing client clearing services for OTC derivative transactions
Regulatory Compliance
Hours
SFC:2.00, PWMA:2.00