[Webinar] Recap on Client Assets Protection and Third-party Deposits and Payments

(The webinar will be delivered in Cantonese and via Webex)

Overview

This course aims to provide practitioners an overview of the SFC requirements on client assets protection and third-party deposits and payments.

Content

1. Requirements on client assets protection (Circular issued by SFC in July 2019) and enforcement cases
- Acknowledgement letter
- Client Securities Rules and Client Money Rules and their related implications
- Self-reporting of non-compliance with these Rules

2. AML update on the third-party deposits and payments issued by SFC in Sep 2021 and June 2023

Who should attend

This course is mainly targeted to front line staff, in particularly who involved in securities dealing / advising and asset management activities. It is also applicable to middle office and compliance department practitioners working in SFC licensed corporations.

Speaker/Course Instructor

Eugene LEE

Mr Lee was the Head of Legal & Compliance of a financial institution and has held various senior positions in the legal and compliance department in financial services and securities firms. Mr Lee obtained his BCom/LLB from University of New South Wales and MBA from University of South Australia. He is a fellow of Institute of Chartered Accountants Australia and New Zealand, member of the Hong Kong Institute of Certified Public Accountants, fellow of the Financial Services Institute of Australasia and senior fellow of the Hong Kong Securities and Investment Institute.

Details

Code

TPRCR24010201

Date & Time

Wednesday, 10 Apr 2024 (12:30PM - 1:30PM)

Venue

Virtual Platform

Relevant Subject

Type 1 - Dealing in securities

Type 2 - Dealing in futures contracts

Type 4 - Advising on securities

Type 5 - Advising on futures contracts

Type 8 - Securities margin financing

More

Language

Trad. Chi / Cantonese

Hours

SFC:1.00, PWMA:1.00

Compliance, Legislative & Regulatory Standards