Compliance, Legislative & Regulatory Standards

[Webinar] Compliance in Action: Preparing for SFC Inspections

Overview

On-site reviews such as Routine Inspections conducted by the Securities and Futures Commission (SFC) are a major tool for its supervisory actions. Receiving a phone call from the regulator regarding an upcoming visit in the near future can be quite daunting. However, with a better understanding of the inspection and careful preparation, the whole process can be quite “routine”.

Content Highlight

1. Background of the SFC inspection
- SFC’s power on inspection and triggering factors
- Managing communication with the regulator

2. Before the Opening Meeting
- The phone call
- Preliminary information and documents request
- Preliminary questionnaire

3. The Opening Meeting
- Business presentation
- Compliance and risk management
- AML/CTF
- Other matters
- What you should and should not mention

4. The inspection and interview process
- Interviews
- Documents requests
- Closing meeting and recommendations

5. Preparation for the SFC Inspection
- Ongoing
- Pre-SFC Inspection

6. Common topics and recent hot topics

7. Recent SFC cases

Who Should Attend

This course is mainly targeted at senior management of the licensed corporations such as directors, RO and MICs, as well as compliance staff.

Instructor / Speaker

Leo WONG

Leo Wong is the Director of Compliance Solutions of Waystone (HK) focusing on SFC compliance consulting services. Leo’s experience covers areas such as asset management, securities, investment advisory, crypto assets and other financial services.

Prior to joining Waystone, Leo served as the Head of Compliance for several SFC-licensed corporations (including asset management, securities brokerage and crypto prime brokerage firms, focusing on SFC Type 1, 2, 5, 6, 9 licenses). In addition, as a former auditor and SFC compliance consultant, Leo managed a wide array of regulatory projects for large institutions and SFC-licensed corporations during the time when he was in PricewaterhouseCoopers HK, ACA Compliance Group, and aiM Group. Leo holds a Master’s degree in Accounting from the University of Cambridge and is a qualified member of the HKICPA and GARP (FRM).

Administrative Details

Code
TPRCR25023501
Date & Time
Friday, 12 Dec 2025 (06:00 PM - 08:30 PM)
Venue
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
...More
Language
English
Hours
SFC:2.50, PWMA:2.50
Fees
All Member: HK$725
Chinese Securities Association of Hong Kong (HKCSA): HK$1,015
HKSI Institute Staff: Free
Honorary Fellow Member: Free
Non-Member: HK$1,450
Staff of Corporate Member: HK$725
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