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Head of Compliance & Licensing, Jane McBride and Associate Peter So recently held a presentation at HSBC on compliance.
Topics discussed included SFC Responsible Officers (RO) and their role and responsibilities covering key legal and regulatory requirements, the SFC Code of Conduct, RO Responsibilities and Potential Liability and SFC Enforcement. The presentation also focused on insider dealing, touching on relevant legislation as well as several case studies.
The presentation was well attended by senior level management at HSBC.
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