Seminar on SFC’s Code of Conduct

June 2017

The recent change in the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission, which incorporated the suitability requirement into client agreements as a contractual term, comes into force on 9 June 2017. Our firm was invited to deliver three seminars to bank officers to explain the significance of the change from a legal and regulatory perspective.

(Photograph) Our partner, Walter Lee and associate, Clara Wong delivered seminars to over a hundred officers of Nanyang Commercial Bank, with emphasis on paragraphs 6.2(i) and 6.5 of Code of Conduct and explaining how the operational changes are implemented in practice with a view to a smooth transition to the new regulatory regime.







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Seminar on SFC’s Code of Conduct
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February 2017
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May 2016
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April 2016
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January 2016
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July 2015
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April 2015
Caring Company for 12 consecutive years
March 2015
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January 2015
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October 2014
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May 2014
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April 2014
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March 2014
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February 2014
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December 2013
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October 2013
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June 2013
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May 2013
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April 2013
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February 2013
Caring Company Partnership Expo 2013
January 2013
SCOLAR and Law Society Volunteer Scheme (2012
Appointment of Member of the Environmental Campaign Committee
SCOLAR and Law Society Volunteer Scheme (2012
Law Society’s Pro Bono and Community Work Recognition Programme 2012 ("the Programme")
Certificate of Appreciation awarded by The Hong Kong Society for the Aged
December 2012
Bank Consent to Issue of Debt Securities
November 2012
HKAEE Sectoral Awards Adjudicating Panel
October 2012
MTR HONG KONG Race Walking 2012
September 2012
Visit to Ping An Bank
August 2012
2012 Commercial Conveyancing Law Firm of the Year in Hong Kong
Guangdong Justice Department visited our firm
July 2012
FDRC Mediator
May 2012
Caring Company for 9 consecutive years
April 2012
Meritas Recertification
March 2012
Consumer Council Certificate Presentation
Accreditation of Mediator
January 2012
Law Society’s PRO BONO AWARD PRESENTATION ON 15 APR 2011 The Law Society Pro Bono and Community Work Recognition Programme 2010
October 2011
MTR HONG KONG Race Walking 2011
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