Regulators in key markets around the world have increasingly looked for more effective ways to hold senior managers of financial institutions accountable for wrongdoing within their institutions, driven by the belief that overall corporate behaviour can be improved through increased personal responsibility. Highly relevant to governance arrangements, a Manager-In-Charge (MIC) regime has been in place since October 2017. The regime captures approximately 10,000 senior individuals responsible for managing core functions within financial services businesses supervised by the Securities and Futures Commission. Managers-In-Charge of Core Functions (MICs). The SFC implemented the MICs regime on 18 April 2017. The deadline for licensed corporations to submit their MICs information and their organisational charts is 17 July 2017 and the deadline to submit applications to the SFC for MICs who are required to be licensed as ROs is 16 October 2017. On 16 December 2016, the SFC issued a "Circular to Licensed Corporations Regarding Measures for Augmenting the Accountability of Senior Management" ("Circular") to introduce the "Managers-In-Charge of Core Functions" ("MICs") regime, accompanied by 41 frequently asked questions ("FAQs").
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27 January, 2017. On 16 December 2016, the Hong Kong Securities and Futures Commission (SFC) introduced its new Manager-In-Charge of Core Functions (MIC) regime, with details set out in its Circular Regarding Measures for Augmenting the Accountability of Senior Management (Circular) and a related series of 40 Frequently Asked Questions (FAQs). SFC introduces new “Managers in Charge” regime to augment accountability of senior management of licensed corporations On 16 December 2016, the SFC issued a Circular and two Annexes (the “Circular”) aimed at augmenting the accountability of senior management of licensed corporations and introducing a new “Managers in Charge” regime The launch of the manager-in-charge ("MIC") regime in Hong Kong in two weeks has sparked concerns about whether other Asian jurisdictions will introduce similar rules. The MIC regime further demonstrates that senior management accountability ranks high on regulators' agenda. On 16 December 2016, the Securities and Futures Commission (SFC) announced the introduction of a Manager-in- Charge initiative (MIC Regime) aimed at increasing the accountability of the senior management of Hong Kong licensed corporations.
The implications of the Hong Kong Securities and Futures Commission’s Manager in Charge regime and concludes with key points for licensed corporations. Hong Kong’s Securities and Futures Commission (the SFC) issued a circular to introduce measures to heighten the accountability Overview.
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The regime captures approximately 10,000 senior individuals responsible for managing core functions within financial services businesses supervised by the Securities and Futures Commission. Managers-In-Charge of Core Functions (MICs).
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Initially all firms will need to provide the SFC with information on their organizational structure and managers from 18th April 2017 to 17th July 2017. The new Securities and Futures Commission (SFC) Manager-In-Charge regime will come into force on 18 April 2017. The regime will apply to all licensed… The launch of the manager-in-charge ("MIC") regime in Hong Kong in two weeks has sparked concerns about whether other Asian jurisdictions will introduce similar rules.
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Senior management outside of Hong Kong may also fall within the scope of the Manager-In-Charge Regime if, for example, a core function of a Hong Kong licensed corporation reports directly to a regional or global head situated in another country. 2019-10-25 · Dentons Hong Kong - Update on Manager-in-Charge Regime Update on Manager-in-Charge Regime October 25, 2019 The Manager-in-Charge (“MIC”) regime was fully implemented by the Securities and Futures Commission (“SFC”) on 17 October 2017 to promote proper conduct and increase awareness of individual responsibility and accountability. Read Allen & Overy's latest blog post on the Hong Kong 'Managers In Charge' regime that has been announced by the SFC and whether this new regime is likely to result in a change in the SFC's approach towards senior management in financial institutions.
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Password * Remember me. Lost your password? **If you were a … Hong Kong Manager in Charge regime: Implications for HR Blog FSR and Corporate Crime notes.