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