Courses
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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