Compliance, Legislative & Regulatory Standards

[Webinar] Regulatory Insight – Power of Investigation and Prosecution of the SFC


This course introduces regulatory role and power of SFC during its investigation and prosecution process to enable the participants to gain a better understanding about the work of SFC.

Content Highlight

1. Structure of Enforcement Division of the SFC
2. Investigation power of the SFC under Securities and Futures Ordinance
3. An overview of market malpractice and relevant ordinances
4. Other crimes related to market malpractice
5. An overview of SFC Code of Conduct
6. Market malpractice case sharing

Who Should Attend

This course is primarily targeted to executives and supervisors of entities that are licensed / registered for various SFC regulated activities, internal / external auditors, compliance officers and internal control officers.

Instructor / Speaker

Monty YUEN

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.

Administrative Details

Date & Time
Monday, 17 Jun 2024 (06:30 PM - 09:30 PM)
Virtual Platform
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
SFC:3.00, PWMA:3.00