CPD Training for the Pilot Scheme for Responsible Officers of Licensed Broker Companies

Part I

·         What a responsible officer is (10 steps to deciphering it)

·         Background as to why the RO now needs to focus on controls and procedures

·         A brief overview of the 11 areas on which the RO should implement proper controls and procedures

Part II

·         Role of Responsible Officer from the broker company’s operational prospective

Medium of Teaching

Part I: English

Part II: Cantonese

Eligible Participant: Exclusive for Responsible Officer of PIBA member

Credits: 3 IA CPD hours (Simultaneously fulfill the training requirements under the RO-CPD pilot scheme and the 3-hour CPD requirement on “Ethics or Regulations”