Deacons hosts a series of client seminars on licensing, compliance and regulatory updates

We are pleased to host a series of client seminars on licensing, compliance and regulatory matters. As the regulatory environment keeps changing, the role of compliance professionals in financial institutions continues to grow in importance. In this series of seminars, our licensing, compliance and regulatory team will update you on the latest developments and their impact on the marketplace.

The seminars will feature Jane McBride, head of our compliance, licensing and regulatory team.

Dates: November 7^th and November 28^th

Time: 1:00 pm – 2:00 pm (registration starts at 12:30 pm)

Venue: 14th Floor, Alexandra House, 18 Chater Road, Central

The November 7^th seminar will focus on a general SFC licensing and compliance update, covering a number of key areas including:

• New SFC approach to compliance
• Professional Investor regime update
• Disclosure in SFC applications
• On-going SFC notifications
• SFC annual report
• SFC enforcement update

The November 28^th seminar will focus on regulatory compliance updates for asset managers, covering a number of key areas including:

• Investment decisions
• Insider dealing
• Personal account dealing
• Capital raising
• Buy side trading
• Electronic trading
• New OTC derivatives regime update

For information on how to attend, please contact Camay Lau at +852 2825 9426