Ongoing Compliance Obligations
Compliance Training Course by Peak Compliance Associates
Ongoing Compliance Obligations - Video
Ongoing Compliance Obligations Q & A
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An overview of the regulatory landscape in Hong Kong, including regulatory authorities, laws, rules, and guidelines. A review of the reporting requirements and recommended best practices for companies licensed under the Securities and Futures Commission (SFC).
The financial regulators in Hong Kong.
The reporting requirements for SFC-Licensed Corporations, including notifications, prior approvals, and periodic filings.
The factors to consider when establishing compliance monitoring programs to ensure ongoing adherence to regulatory requirements.
How to prepare for regulatory audits and inspections conducted by the SFC.