Course curriculum

    1. Senior Management - Video

    2. Senior Management Q&A

    3. Course Feedback

About this course

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

Summary

A review of the Securities and Futures Commission’s (SFC's) expectations on the roles and responsibilities of the Senior Management of a Licensed Corporation. Specifically, a discussion around the responsibilities and liabilities of the Board of Directors, Responsible Officers, and Managers-in-Charge of a Licensed Corporation.

  • The general roles and responsibilities of Senior Management.

  • The specific roles and responsibilities of the Board of Directors, Responsible Officers, and Managers-in-Charge.

  • The applicable compliance obligations and responsibilities of Senior Management across all 8 core functions within the licensed corporation.

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