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16
May 2017
(Tue)

Finance & Compliance Seminar: SFC Investigation and Enforcement

Event Unit
| Finance and Investment, Accounting and Corporate Governance

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The above event has been completed successfully. Please look forward to the upcoming events.

Date & time
16May 2017 (Tue)19:00 - 20:30
Venue
Room 613, 6/F, United Centre, 95 Queensway, Hong Kong (Exit D, Admiralty MTR Station)
Fee
Free Admission
Speaker
Mr. Jason Wong, Principal, International Consultancy Firm

Mr. Jason Wong, Principal, International Consultancy Firm

Jason Wong is a Principal of Risk Advisory Services in Hong Kong. He has 16 years of working experience and specialises in Governance Risk and Compliance (GRC) services. Jason is an AML specialist who has managed AML review engagements in banking, securities trading/underwriting, assets management, insurance brokerage, money lender and pawn industry in Hong Kong, Macau and PRC. He assisted these businesses in building an effective AML risk assessment, client risk profiling, CDD, transaction monitoring and STR programs. Jason obtained a Finance & Accounting bachelor degree from Ryerson University, Canada, and is an Associate Member of The Association of Certified Fraud Examiner.

Enquiry
Enquiry: Ms Fung / 2867 8392 (ec.fc@hkuspace.hku.hk)
Related link
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Executive Certificate in Finance and Compliance
Remarks

Language: Cantonese

 


Securities and Futures Commission (SFC) established 8 specialized investigative teams for certain key risk areas in 2016. Investigations have been conducted in the following areas:

  • Corporate disclosure
  • Corporate misgovernance
  • Insider dealing
  • Intermediary misconduct
  • Market manipulation
  • Unlicensed activities

The seminar is intended to introduce the statutory power and implication of SFC investigation and enforcement. Case study on disciplinary actions will be covered.