Introduction

 

In the financial industry, it is no longer about sales and profits, but rather regulations and compliance!

 

Mr. Yeung has been working in the Hong Kong financial industry for over 20 years. He is particularly knowledgeable in compliance work relating to Dealing in Securities (RA Type 1), Advising in Securities (RA Type 4), Advising in Corporate Finance (RA Type 6), Margin Financing (RA Type 8), and Asset Management (RA Type 9) which are regulated activities licensed by the Securities & Futures Commission of Hong Kong ("SFC").

 

Mr. Yeung was previously licensed by the SFC as Responsible Officer for regulated activities Type 1, Type 4 and Type 6.

 

Skills & Expertise
  • Securities & Futures Ordinance (Cap.571)

  • HKEx Listing Rules

  • Code of Conduct & Guidelines

  • Compliance, Policies & Procedures

  • Risk Management

  • Anti-Money Laundering & Counter-Terrorists Financing

  • Business & Project Management

  • SFC License Applications

  • Compliance Advice

  • Expert Witness

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