Module 4 - regulatory compliance (advanced) & building a sustainable compliance framework – general compliance: enhanced competency framework - compliance
Law, S. Full text not archived in this repository. It is advisable to refer to the publisher's version if you intend to cite from this work. See Guidance on citing. Abstract/SummaryThis 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.
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