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Course Details

Duties and Liabilities of Responsible Officers
Donald Lai, Director, Financial Services Development Council; Manager - Enforcement Division (Investigation), Securities and Futures Commission
Date: 25 June 2019 (Tuesday)
Time: 2:30pm - 5:45pm
Level: I (Intermediate)
For delegates who have prior knowledge of the subject area
Language: English
Fee: HK$ 1,650
Accreditation: 3 CPD pts (Accredited by The Law Society of Hong Kong)
Ref: L19SF04
Venue: Learning Commons
Unit 903, 9/F,
Euro Trade Centre,
21-23 Des Voeux Road,
Central, Hong Kong
[View Map]
Presenter's Biography:

Donald is a solicitor, certified public accountant and chartered company secretary. He is now a Director of the Financial Services Development Council on a secondment basis from the Securities and Futures Commission. Donald is also a contributor of the 2018 edition of the SFO: Commentary and Annotations (Sep 2018, Sweet & Maxwell). He spent most of his career in the SFC, starting off in the Intermediaries Supervision Department in 2006 and rejoined the Enforcement Division in 2014. By conducting onsite inspections on SFC licensees, he gained first-hand experience of the functions and duties of responsible officers. In his capacity as an investigator in the Enforcement Division, Donald handled many cases involving responsible officers' misconducts. After earning his first degree in business administration in Canada, Donald obtained a part-time LLB degree with first-class honours at the City University of Hong Kong. In 2017, Donald completed the LLM program in Corporate and Financial Laws and graduated with distinction from the University of Hong Kong.
 
Objective:

This seminar will introduce the general functions and specific duties and liabilities of a Responsible Officer under the Securities and Futures Ordinance (Cap.571) and the related codes, guidelines and circulars. The seminar also discusses the practical role of a Responsible Officer in handling SFC onsite inspections and investigations by drawing references to recent enforcement cases, court and tribunal cases.
 
Outline:

  • How to be a responsible officer?
  • What do responsible officers do?
  • What are the duties and liabilities of responsible officers under the SFO?
  • What is the relevancy of SFC codes and guidelines?
  • How do responsible officers handle SFC onsite inspection?
  • What is the responsible officer's role in SFC investigation?
  • Recent enforcement cases, court cases or tribunal cases sharing

 
Category: Regulatory & SFC Compliance
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