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最新消息 活動預告

16
5月 2017
(星期二)

Finance & Compliance Seminar: SFC Investigation and Enforcement

相關學科
投資管理, 會計學

感謝各位熱烈參與!

以上活動經已圓滿結束,敬請密切留意學院稍後活動。

日期及時間
2017年5月16日 (星期二)19:00 - 20:30
地點
Room 613, 6/F, United Centre, 95 Queensway, Hong Kong (Exit D, Admiralty MTR Station)
費用
免費入場
講者
  • 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.

查詢
Enquiry: Ms Fung / 2867 8392 (ec.fc@hkuspace.hku.hk)
相關連結
行政人員文憑《反洗黑錢及反恐怖主義融資》
行政人員證書<財務及金融法規>
備註

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.