Event Details

The Securities and Futures Commission (SFC) recently completed several investigations of securities and futures brokerage business, resulting in fines and reprimands due to internal control deficiencies and regulatory breaches on several key focus areas including margin financing, anti-money laundering and counter-financing of terrorism (third-party deposit), short selling, and the handling of client money and securities.


To have a better understanding on how brokerage firms are responding to these regulatory focuses, we would like to take this opportunity to invite you to our webinar to share views and insights on regulatory compliance on the focus areas.


This webinar will focus on the following:


  • The latest SFC regulatory requirements on margin financing, anti-money laundering and counter-financing of terrorism (third-party deposit), short selling and the handling of client money and securities
  • The common internal control deficiencies and regulatory breaches identified by the SFC
  • Major issues / challenges your firm has encountered
  • Internal control improvement opportunities
  • Insights from Margin Financing Spotlight Survey


There is no charge for joining the webinar, although early registration is recommended. Please indicate your availability to attend this webinar by clicking on the registration button above.

Jul 13, 2020

4:45 PM - 6 PM

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