Regulatory & SFC Compliance

  • *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
  • Anatomy of a Law Enforcement/Regulatory “Dawn Raid”

    Regulators and law enforcement agencies have in recent times become more aggressive in investigating alleged large-scale corporate misconduct, bribery and fraud. This means that major executions of search warrants and the exercise of immediate arrest and interview powers (which together are features of what is commonly referred to as “dawn raids” conducted by law enforcement agencies and regulators) has become and could, for some time to come, continue to be more widespread. In this seminar, we will conduct a run through of some of the main practical issues associated with facing and handling a dawn raid, as well as follow-up work and issues in its aftermath. “War stories” from past experiences will be recounted along the way.

    28 Sep, 2018

    Courses
  • Anti-Money Laundering and Counter-Terrorist Financing: Best Practice and Compliance Issues

    Money laundering and terrorist financing (“ML/TF”) can present significant compliance, reputational and operational risks for corporations and have an economic impact on most businesses.  Regulators have been taking positive steps to combat ML/TF as well as identify deficiencies in the anti-money laundering and counter-terrorist financing systems and controls of the corporations.  This 3-hour course will provide an excellent view of the fundamentals of ML/TF, the relevant laws and regulations, the compliance issues as well as the best practices.

    11 Jul, 2017

    Courses
  • Anti-Money Laundering and Counter-Terrorist Financing: Best Practices and Compliance Issues

    Money laundering and terrorist financing (“ML/TF”) can present significant compliance, reputational and operational risks for corporations and have an economic impact on most businesses.  Regulators have been taking positive steps to combat ML/TF as well as identify deficiencies in the anti-money laundering and counter-terrorist financing systems and controls of the corporations.  This 2-hour course will provide an excellent view of the fundamentals of ML/TF, the relevant laws and regulations, the compliance issues as well as the best practices.

    28 Feb, 2018

    Courses
  • Anti-Money Laundering and Counter-Terrorist Financing: Best Practices and Compliance Issues

    Money laundering and terrorist financing (“ML/TF”) can present significant compliance, reputational and operational risks for corporations and have an economic impact on most businesses.  Regulators have been taking positive steps to combat ML/TF as well as identify deficiencies in the anti-money laundering and counter-terrorist financing systems and controls of the corporations.  This 2-hour course will provide an excellent view of the fundamentals of ML/TF, the relevant laws and regulations, the compliance issues as well as the best practices.

    10 Oct, 2018

    Courses
  • Codes of Conduct for Managers and Persons Licensed or Registered with the SFC – Recent Changes and Updates

    In November 2017 the SFC announced amendments to the Fund Manager Code of Conduct (FMCC) and the Code of Conduct of Persons Licensed by or Registered with the Securities and Futures Commission SFC (Code of Conduct). These amendments impact the ways in which funds are marketed, operated and also the ways in which asset managers are to conduct their roles. The changes will become effective in August and November of 2018 respectively. The following course will provide information on the changes and what managers and persons licensed or registered with the SFC need to do to comply.

    30 May, 2018

    Courses
  • Duties and Liabilities of Responsible Officers under the SFO

    *Please note this course will be conducted in Cantonese*

    All registered firms such as securities / futures companies, fund management firms, financial advisory companies and corporate finance firms will need to be licenced by the SFC to conduct regulated activities. Each licenced corporation requires 2 Responsible Officers (RO). How do you become an RO and what are the duties and liabilities for ROs?

    18 Nov, 2016

    Courses
  • 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?

    06 Dec, 2016

    Courses
  • 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?

    21 Feb, 2017

    Courses
  • 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 at least 2 Responsible Officers (RO). How do you become an RO and what are the duties and liabilities for ROs?

    20 Jun, 2017

    Courses