The HKCCA’s Executive Committee invites you to the following presentation, hosted by Herbert Smith Freehills.
Food and drinks will be provided. 1 Law Society of Hong Kong CPD point has been accredited. New York and California Approved Jurisdiction policy may apply.
TOPIC: The SFC “Manager in Charge” Regime
In this presentation, we will discuss the "Manager in Charge" (MIC) Regime in Hong Kong. The MIC Regime was formally announced by the Securities and Futures Commission of Hong Kong (SFC) on 16 December 2016 and it applies to all licensed corporations (LCs). It was introduced to heighten the accountability of the senior management of LCs and to promote awareness of senior management obligations under the current regulatory regime. For example, under the Securities and Futures Ordinance senior executives can be held criminally liable for corporate misconduct. The rules require LCs to identify which of its managers are responsible for the "Core Functions" and to submit up-to-date management structure information and organisational charts to the SFC by 17 July 2017.
SPEAKERS: Gareth Thomas, William Hallatt, Jessica Erickson and Hannah Cassidy
EVENT DETAILS:
If you have any suggestions for topics or speakers for future HKCCA events, please let us know at events@hkcca.net.
Please note this event is exclusively for HKCCA members. If you are not an HKCCA member but you want to attend this presentation, you need to successfully apply for membership at www.hkcca.net and pay the membership fee before registering for the event. If you have any membership queries, please contact HKCCA Secretariat on info@hkcca.net or (852) 2516 7007.