Overview
The webinar is designed to help responsible officers and compliance managers develop key skills and a proactive mindset for navigating regulatory changes. It highlights the importance of building a transparent and compliant environment to strengthen client trust and firm reputation.
Through this webinar, participants will gain insights into transforming compliance challenges into proactive risk management opportunities. They will also deepen their understanding of the ethical dimensions in customer protection, ensuring that compliance initiatives are both regulatory compliant and ethically grounded.
Content Highlight
• Self-evaluation of SFC RO responsibilities using 10 reflective questions
• Analysis of SFC enforcement cases to identify and explore key compliance risks and potential ethics issues
• Overview of key regulatory updates to implement proactive policy adjustments
• Growth mindset application in compliance to turn challenges into opportunities for personal and organisational growth
Who Should Attend
This course is tailored for senior management including directors, responsible officers, managers-in-charge and compliance managers.
Instructor / Speaker
Kenny KWONG
Mr Kwong holds a master’s degree in Drama in Education from Griffith University, Australia, and is certified as an Associate Certified Coach from International Coaching Federation. His expertise lies in contextual-based and coaching techniques, which he employs to foster leadership, resilience, and a growth mindset across diverse teams.
Administrative Details
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
...More
Chinese Securities Association of Hong Kong (HKCSA): HK$450
HKSI Institute Staff: Free
Honorary Fellow Member: Free
Non-Member: HK$640
Staff of Corporate Member: HK$320