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Past Event

29 Nov 2022

16:00 -17:00

[Webinar] Power of RegTech: Ensure Ongoing Compliance with the Latest SFC Codes & Guidelines

Learn how to ensure ongoing compliance with the latest SFC guidelines from compliance and technology expertise. In this webinar we will cover topics about: - In-depth review on ongoing obligation of SFC Licensed Corporations (LCs) - SFC's recent reinforcement of regulatory requirements for internet brokers

20 Oct 2022

16:30 -17:30

[Webinar] Security Token Offerings (STO) and it's relevance to Type 1 & 9 firms

SFC is now open to clarify its regulatory principles to foster the development of security token offerings (STOs) in Hong Kong. In this panel discussion we will highlight the regulations that would apply to type 1,4,9 licensed corporations who intended to launch STO and involve in asset tokenization. We will also expand on the overall procedure of STO issuance and explore both global and local innovative STO practices. What is Blockchain, STO and it's related regulations in Hong Kong How do type 1,4 licensees market and invest STO How do type 9 licensees handle asset tokenization on the funds Procedure of STO issuance in Hong Kong and the key project team members Global and local STO case studies The regulatory and KYC requirements for STO investors Fintech solutions for STO

21 Sep 2022

16:30 -17:30

Avoid Tremendous Fine by SFC Using RegTech for KYC/CDD Optimization

SFC licensees and registered institutions can often face the compliance challenge if they fail to conduct sufficient client due diligence (CDD). During this webinar the speaker will share insights about how RegTech can digitize and modernize KYC and CDD processes, also highlights cross-boundary KYC verification and the information flow in the GBA. - Review on recent SFC enforcement actions - How to differentiate KYC and CDD - Regular CDD review requirement for type 1,2,4,5,9 SFC licensee - Challenges in cross-boundary KYC & CDD - How RegTech can automate KYC , CDD & AML compliance

Anchor 2 - Past Event
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