Courses
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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?
24 Oct, 2017
Courses -
Duties and Liabilities of Responsible Officers Under the SFO
*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?
23 Mar, 2018
Courses -
Duties and Liabilities of Responsible Officers Under the SFO
*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?
28 Sep, 2018
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?
31 Oct, 2018
Courses