Compliance, Legislative & Regulatory Standards

資產管理基礎課程 單元三:資產管理規例 5小時精讀班)

概要

“資產管理基礎課程”是由四個單元組成的入門課程,旨在為金融服務從業人員提供所需的知識和技能,幫助他們加入資產管理行業。

“資產管理基礎課程”是有四個單,單元三:資產管理規例概述與資產管理部門相關的具體監管要求。

為切合不同學習者的需求,單元三共有兩個版本:5小時精讀班和10小時基礎班。

成功修畢“資產管理基礎課程”的四個單元後,學員將獲發證書。

內容

1. 監管框架
2. 後台合規
3. 資產管理條例
4. 不當行為
5. 測驗

對象

這5小時精讀班主要對象為那些在證券行業有豐富經驗、並希望能進一步對資產管理行業有深化認識的人而設,方能讓他們符合申請《證券及期貨條例》下第9類牌照的要求。若對證券行業沒有經驗或經驗有限的從業員,應報讀10小時的基礎班。

導師/講者

蔡奮威
Samuel是aiM的創辦人並主要帶領業務拓展及各類業務的質量把控。此外,Samuel也是國富浩華(香港)會計師事務所金融服務審計團隊的創辦人,並於2017年至2020年期間擔任國富浩華(香港)的金融服務審計主管。在加入國富浩華(香港)之前,Samuel於2009年為一個亞洲的家族办公室創立了一家對沖基金管理公司Elmore Capital Limited(ECL)。Samuel作為首席執行官, 於2014年帶領ECL成為沃福山集團的香港公司-沃福山資產管理有限公司 (WHAMAL),及打造成一個具有為機構投資者服務能力的精品基金管理平臺。當Samuel在2017年離任時,WHAMAL正為管理规模總額超過12億美元的基金經理提供營運和合規支持。在創立ECL前, Samuel曾擔任摩根大通資產管理公司(JPMAM)亞洲地區(日本除外)的首席行政官,並負責監督該地區的風險管理,財務和稅務事務。他亦曾代表JPMAM出任其在上海的合資基金公司上投摩根基金的董事一職。他在加入JPMAM之前是香港德勤的金融服務業審計合夥人。Samuel是資深香港執業會計師,英格蘭及威爾士特許會計師公會資深會員,並擁有香港理工大學會計學榮譽學士學位。
方日昇
Cyrus has considerable audit and financial services industry experience in providing services to listed banks, listed securities brokerage firms, asset management companies, investment agencies, private equity funds and other financial institutions in Hong Kong, China and overseas. He has comprehensive knowledge on the regulatory reporting requirements and related compliance matters of Hong Kong Monetary Authority and Securities and Futures Commission of Hong Kong. He has specialized in serving financial services industry clients, especially for clients who have Type 1, 4, 9 licences since joining Big-4 audit practice in 2007 prior to joining Crowe Horwath.
趙龍生
Raymond has served for various types of clients from listed companies to public and private companies for various types of engagements relating to audits, internal control reviews and special due diligence reviews. Currently, he has specialized in serving financial services industry clients including different types of licensed corporations, especially in Type 1, 4, 9 licences. He has 10 years auditing experience in a bank which provides professional banking services to middle and small-sized enterprises as well as communities in Macau.
陳梓倫
Felix started his career as an auditor at CCIF CPA Limited in Hong Kong. From there he moved into corporate consultancy for Alliance Financial Intelligence Limited and participated in Pre-IPO projects for clients based in the PRC.

He was then appointed Corporate Controller of CT Electronics Group to facilitate for the reverse takeover process of the company by a listed company on the Toronto Stock Exchange. After the completion of the said transaction, Felix moved onto managing the project division of a company listed on the Hong Kong Stock Exchange.

Felix then took a break from the corporate scene and started his own education business with partners in Shenzhen, China. The business was subsequently sold to partners and Felix returned to Hong Kong to take up the position of Associate Manager at the HKMA.

Since then Felix has worked at Grandtop International Capital Limited specializing in Internal Control for listed companies. Felix holds a double degree in Law and Business Administration from the University of Hong Kong. Felix is an internal control and operational risk management consultant for listed companies as well as asset management companies. He specializes in implementing internal control and risk management systems, procedures and policies for companies and regulated entities.
黎一緯
Wilkie於銀行和資產管理行業有超過20年的工作經驗,涉及範疇包括風險管理,運營,資訊科技,客戶開發,法務和合規等領域。Wilkie的豐富經驗包括於管理超過15億美元的地區基金Dragon Capital Group擔任合規總監。此前,他曾擔任TriBridge Investment Partners的首席風險官及董事總經理,TriBridge管理的債務信貸對沖基金於亞洲管理超過3.5億美元資產。Wilkie亦曾於中國銀行(香港)和Banca Intesa S.p.A及其他金融機構負責風險管理主管職能。Wilkie也曾於湯森路透和安德森諮詢公司(現為埃森哲) 擔任重要職位。在法律/法規科技範疇,他正參與一個與香港科學園聯繫的項目。Wilkie擁有律師資格及為澳洲新南威爾士州律師協會成員。他於香港中文大學及澳洲國立大學法律學院畢業,亦於香港科技大學獲得信息系統管理碩士學位及於美國加州大學獲得電腦科學學士學位。

詳情

活動編號
TQRCR17005303
日期及時間
2018年1月15日, 星期一 (6:30下午 - 9:00下午)
2018年1月17日, 星期三 (6:30下午 - 9:00下午)
地點
香港證券及投資學會培訓中心
相關主題
第9類 - 提供資產管理
監管合規
語言
Trad. Chi / 廣東話
課程時數
SFC:5.00, PWMA:5.00