Course curriculum

    1. Conflicts of Interest - Video

    2. Conflicts of Interests Q & A

    3. Course Feedback

About this course

  • $350.00
  • 3 lessons
  • 1 hour of video content

Summary

A discussion around the regulatory framework for managing conflicts of interests for companies licensed under the Securities and Futures Commission (SFC), along with corresponding guidelines for appropriate internal controls.

  • The different types of conflicts of interest.

  • The SFC’s rules and guidelines for Licensed Corporations to follow in connection with identifying and managing conflicts of interest.

  • The SFC’s expectations of Licensed Corporations in respect of workplace conduct.

Narration: Alex Esson
Design: Dona Samaranayake, Melody Wang
Content: Alex Esson, Stanley Nnam