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    China Rise Securities Conduct Failures & Monitoring Conflicts of Interest

    May 7, 2020 | By MCO Webinar Team

    The Hong Kong Securities and Futures Commission (SFC) recently sanctioned a former chief executive officer of China Rise Securities Asset Management Company and suspended its head of dealing for inappropriate standards of conduct and breaching of the Code of Conduct.

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    MCO Social Media SMCR webinar - On-demand webinar

    SMCR compliance: Are you prepared to implement the new rules?

    October 9, 2019 | By MCO Webinar Team

     

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    SM&CR: 5 Lessons Learned from the Banking Sector

    November 29, 2017 | By MCO Webinar Team
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    2018 Extension to Senior Managers and Certification Regime

    October 10, 2017 | By MCO Webinar Team
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    Senior Managers and Certification Regime Fundamentals

    June 28, 2017 | By MCO Webinar Team

     

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