Would You Be a Responsible Officer? Duties and Liabilities of Responsible Officers under the Securities and Futures Ordinance

Overview
All licensed corporations in Hong Kong (such as securities brokerages, asset management firms, IFAs and corporate finance advisers) require two Responsible Officers (ROs) per regulated activity in order to be licensed by the SFC to conduct such regulated activities.

How do you become an RO and what would your duties and liabilities be, under the Securities and Futures Ordinance?

Topics to be discussed will include:

• Eligibility requirements and exemptions;
• Licence application process;
• Functions and duties;
• Potential misconduct;
• Potential liability; and
• Investigations by the SFC.

Location
Dechert LLP
27/F Henley Building
5 Queen's Road Central
Hong Kong
Map/Directions

To RSVP please contact Tiffany Chan
By phone: +852 3518 4735
By email: tiffany.chan@dechert.com