Module 1

Licensing Issues, Complaint Handling and Dealing with SFC

Duration: 2 hours

Accreditation(s): SFC CPT Hours: 2

Delivery Mode: Online Platform (Zoom)

Training Fee: HK$500

Language: Cantonese

Overview

This module shares practical knowledge and experience of resolving various licensing issues, handling client complaints and dealing with different units of the SFC. Regulatory updates on hot topics and selected enforcement cases are also discussed in the class.

For private classes, please contact us at (852) 2116 3328 for more details.

Attendance

Attendance e-cert is provided upon completion of an assessment quiz

Intended Audience

SFC licensed persons of various regulated activities, compliance officers, risk managers, internal/external auditors, lawyers, middle/back office personnel

Trainer

Mr. Jack Tsang (CFA, FRM, LLM)

Jack Tsang is the Head of Compliance of a listed financial services group, practicing securities compliance for over 20 years. Prior to joining the compliance field, he had been a regulator working in the Securities and Futures Commission. He has also accumulated near 20 years of experience in providing both in-house and public compliance trainings to thousands of practitioners in the financial industry.