Committee Membership Details for the Year 2020
Securities Regulatory Advisory Panel

No. Committee Member Title  
1. Miss TSO, Miu Yue, Agnes Chairman Attendance record
2. Mr. CHAN, Wing Fai Member Attendance record
3. Ms. CHAN, Wo Mi Member Attendance record
4. Mr. CHAU, Chi Kit Member Attendance record
5. Mr. Ernest FUNG Member Attendance record
6. Ms. KO, Sze Man Member Attendance record
7. Mr. NG, Chun Man, Michael Member Attendance record
8. Mr. WONG, Ho Yuen, Gary Member Attendance record





As a member of the Securities Regulatory Advisory Panel you are asked to:


1.  Advise the management, where these affect the interests of members and the profession, on:


a.    matters related to securities intermediaries; and


b.    rules and regulations issued by the securities industry regulator, namely, the Securities and Futures Commission


2.  Review and comment on consultative papers, existing and proposed legislation and regulations related to securities intermediaries which affect the interests of members and the profession, before their submission to the management for approval.


3.  Provide support to the Financial Reporting Standards Committee, the Auditing and Assurance Standards Committee and the Ethics Committee in developing and updating accounting, assurance and ethics standards and guidance/practice notes to members on matters related to securities intermediaries, including:


a.  reviewing and commenting on related exposure drafts issued by the Institute or other professional bodies (e.g. IASB and IFAC etc); and


b.  updating the relevant practice notes and where appropriate, making reference to the latest development of the standards, regulatory requirements and industry practice.


4.  Attend meetings with the Institute, the Securities and Futures Commission and other professional bodies on ad hoc accounting and assurance matters specific to securities intermediaries.


5.  Contribute to the activities of the Institute by taking up the role of leader, forum chair and / or article writer for designated securities related matters or projects.



April 2020