AIMA APAC Webinar: Hong Kong Manager-In-Charge and Accountability Regimes Update

Hong Kong Singapore China Japan Australia Accountability and Conduct Manager-in-Charge

Senior management accountability has been high on the regulatory agenda for many years now, accelerated by the issues flowing from the 2007/2008 financial crisis. Hong Kong's own Manager-In-Charge regime was announced in 2016, and it has become firmly embedded within the regulatory framework.
 
This briefing will cover the SFC's first enforcement action involving a Manager-In Charge, and it will also guide participants through a number of practical tips to help ensure compliance with both the Hong Kong and Singapore senior management accountability regimes.
 
211208 HK MIC.pdf
 
A recording of this session is available for replay here.
 
Speakers:
Hannah Cassidy, Partner, Herbert Smith Freehills
Natalie Curtis, Partner, Herbert Smith Freehills

Tom Gorman, Executive Director, Goldman Sachs

Phillip Meyer, General Counsel, Chief Compliance Officer & Co-Chief Operating Officer, Oasis Management

 

Host:

Michael Bugel, Managing Director, Co-Head of APAC, AIMA