Apr 2017 – Meena Datwani (Executive Director, HKMA) On risk-based approach   See flyer

Apr 2017 – Stuart Somer (Director, Complyport) On outsourced compliance   See flyer

Mar 2017 – Gary Tiu (HKB) On online investment services  See flyer

Mar 2017 – Jill Wong (Partner, HWB) On managing regulatory inspections  See flyer

Feb 2017 – Greg Heaton (Senior Director, SFC) On licensing and senior management responsibility  See flyer

Dec 2016 – Alice Law (COO, MPFA) On regulatory expectations  See flyer

Nov 2016 – Dr.Tony Tan (Director, CFAI) On ethics  See flyer

Nov 2016 – Bénédicte Nolens (Senior Director, SFC) On the evolution of compliance  See flyer

Nov 2016 – Public lecture series (Nov 2016-Jun 2017) commences: “Compliance in the Financial Services Industry”  See flyer