Regulatory & SFC Compliance
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*FULL* Duties and Liabilities of Responsible Officers under the SFO
All registered firms such as securities / futures companies, fund management firms, financial advisory companies and corporate finance firms will need to be licensed by the SFC to conduct regulated activities. Each licensed corporation requires 2 Responsible Officers (RO). How do you become an RO and what are the duties and liabilities for ROs?
*Due to popular demand, this course is now FULL. Please contact us by email at registration@courses-seminars.com to be put on waiting list for this course. To request re-run, please click on the “request re-run” box on the right.
11 Oct, 2016
Courses -
*FULL* SFC licensing Regime Update and Upcoming Expanded SFC Type 9 License Regime
This course will provide an update of the current SFC licensing requirements for intermediaries such as common issues arising from SFC licenses applications and details of upcoming expanded Type 9 license regime and its impact on fund management companies and hedge fund managers will also be discussed.
*Due to popular demand, this course is now FULL. Please contact us by email at registration@courses-seminars.com to be put on waiting list for this course. To request re-run, please click on the “request re-run” box on the right.
27 Feb, 2017
Courses