Jobs for COVID-19 Layoffs Posted on 17.03.2003 The SFO requires that there must be at least 1 responsible officer | Japan Last 1 Days Posted: 4 months ago Thus, it is unlikely that an individual will be considered to be fit and proper to be licensed to act for more than one licensed corporation, unless the licensed corporations are in the same corporate group or owned by the same controlling shareholders. Job Description. Other - Malaysia The course aims to reinforce the general functions and specific duties and liabilities of a Responsible Officer under the Securities and Futures Ordinance (Cap.571) through sharing of key legal and/or enforcement cases. A First Sergeant is a senior non-commissioned officer (NCO) in the United States Army. In this Q&A, partner Nick Dealy explores the roles, responsibilities and potential liabilities of an SFC-approved Responsible Officer. | Human Resources We use cookies to offer you a better browsing experience. 0-3Lakhs
Job Highlights:
* Administrator for overall IT infrastructure
* IT infrastructure project planning and execution CL Technical Services Limited Our client is an investment arm of a sizable Korean Banking group. We look for individuals who share our passion for solving challenging problems. He was prohibited from re-entering the industry for 10 months from 17 April 2019 to 16 February 2020.Q) How vigilant must a Responsible Officer be regarding the accuracy of information that is submitted to the SFC?A Responsible Officer bears the primary responsibility for compliance at a licensed corporation and is involved in supervising the regulated activities of the company. | Posted: 20 days ago The Responsible Officer declared that all information provided in the form was complete, true and correct. Posted: 2 months ago
Grey Anderson Limited
Register Free To Apply Various Sfc Responsible Officer Job Openings On Monster Hongkong ! Posted: 2 months ago In assessing whether a person is fit and proper to be or remain licensed as a responsible officer, the SFC will also consider (among other things) whether the person is able to devote sufficient time to his or her duties as a responsible officer, and to properly manage any potential conflicts of interest arising from any other capacities or business interests of that person. The time required to approve substantial shareholders is also likely to be comparable to that of a new corporate licence application, which takes about 15 weeks according to the An application to become a substantial shareholder may be refused if the SFC does not believe that the licensed corporation will remain fit and proper after the approval is granted. Customer Service Executive (Voice)
Kelly Services Hong Kong Ltd My client is a newly established Asset Management firm based in Hong Kong looking for a Responsible Officer Type 9 (Sole) to join their team for their wealth management business with fintech background.. Job Responsibilities:. Posted: a month ago | SFC has the authority to revoke the licences of corporations and individuals that do not genuinely carry on a business in a regulated activity. Q) Can a person be the Responsible Officer for a number of licensed corporations?Q) Can the SFC exercise its disciplinary powers against a Responsible Officer?The SFC has stated that whether they are to discipline a regulated person depends on the specific facts of each case and that they will take into account the individual’s apparent or actual authority in relation to the particular business and operations, his or her level of responsibility within the licensed corporation concerned, any supervisory duties he or she may perform, and the level of control or knowledge he or she may have concerning any failure by the corporation or persons under his supervision to follow the SFC’s Code of Conduct .The SFC can impose disciplinary sanctions of a civil nature, for example, licence revocation or suspension, pecuniary fine and reprimand. Responsibilities: * Handling customers’ solutions on shipment and protection enquires in a timely, accurately and courteous manner * Coordinating customer activities, such as accounts setup and Accountant