*Please note this course will be conducted in Cantonese.*

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

The SFO requires appointment of Responsible Officers (ROs) for each licensed corporation.  ROs bear significant responsibilities and duties, and it is essential that every RO and licensed corporation understands what these are, along with the serious consequences if these responsibilities and duties are not fulfilled.  We will, by reference to real life examples, provide an overview of the RO regime, the key duties and responsibilities of ROs and the pitfalls that ROs need to avoid.