Module 4 - regulatory compliance (advanced) & building a sustainable compliance framework – general compliance: enhanced competency framework - compliance

Law, S. ORCID: https://orcid.org/0000-0002-5231-2845 (2024) Module 4 - regulatory compliance (advanced) & building a sustainable compliance framework – general compliance: enhanced competency framework - compliance. Hong Kong Institute of Bankers.

Abstract/Summary

This module aims to provide the candidates with in-depth conceptual, legal and technical knowledges in relation to the performance of general compliance function in an Authorized Institutions in Hong Kong. Different compliance tools and handling of non-compliance incidents will be assessed and analyzed alongside the policy, procedures, people and process in response to the compliance function. The current trend of Regtech adoption is also examined.