1.RO（公司执行董事）/ 业务RO
- act as a responsible officer with sfc for type 1, type 4, type 9 regulated activities;
- oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the sfc’s code of conduct and guidelines;
- provide guidance and leadership on the development, implementation, and monitoring of effective compliance policies and procedures;
- monitor trading activities and conduct regular compliance reviews and risk assessments to identify and mitigate potential risks;
- serve as the primary contact with the sfc and handle all regulatory fillings, reporting and communications;
- keep abreast of regulatory developments and advise the company on compliance matters;
- participate in the development of new products and business initiatives to ensure they meet all regulatory requirements;
-provide training and support to staff on compliance-related issues.
1.RO(公司执行董事)/ 业务RO
-担任sfc对1类、4类、9类监管活动的负责人；
-监督、管理和确保遵守所有适用的法律、法规和法规，包括sfc的行为准则和准则；
-就制定、实施和监督有效的合规政策和程序提供指导和领导；
-监督交易活动，并定期进行合规审查和风险评估，以识别和减轻潜在的风险；
-作为与证监会的主要联系人，处理所有监管内容、报告和沟通；
-及时了解监管方面的发展，并就合规事宜向公司提供建议；
-参与新产品和业务计划的开发，以确保它们满足所有的监管要求；
-就合规相关问题向员工提供培训和支持。

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