Compliance, Legislative & Regulatory Standards

[In-person] Mastering Financial Resources Rules (FRR) with Practical Skills

概要

本課程是探討《證券及期貨條例》中《財政資源規則》的理論基礎、元素及規例。主要針對《財政資源規則》中的計算表及主要條目的定義,進行深入闡釋。

內容

1.《財政資源規則》的理論概述
2.《財政資源規則》提出的風險
3.《財政資源規則》股本及速動資金規定
4.《財政資源規則》的計算基礎
5. 通知及申報規定
6. 概述申報表格
7.《財政資源規則》的計算個案研究
8. 資金使用及《財政資源規則》監察方面的應用事宜

對象

本課程適合那些持牌中介人的管理層、客戶經理、證券商董事及監察主任、財務管理人員等,需要申報或覆核財政資源申報表。

導師/講者

王銘灝
Leo Wong, a Certified Public Accountant (CPA) and Financial Risk Manager (FRM), brings a wealth of experience to his role as Vice President (COO) of aiM Group. He started his career at PricewaterhouseCoopers Hong Kong, focusing on auditing, risk management, and compliance in the Financial Industry. Prior to joining aiM Group, Leo served as Head of Compliance for an SFC-licensed securities broker and asset management firm. At aiM Group, he oversees different functions in Aim Capital Consortium Limited, an SFC-licensed asset management firm with licenses of Regulated Activities of Type 4 and 9, leveraging his diverse range of buy-side and sell-side experience.
方日昇
Over the course of career, Cyrus has served in the audit profession for more than 17 years. He has extensive experience in financial services industry audits and IPOs in Mainland China and Hong Kong. His practice focuses on providing assurance services to clients in the financial services industry, including retail banks, SFC licensed corporations, as well as investment funds.

His leadership and execution of two IPO projects for Mainland Chinese banks listed on the HKEx have been successful. Based on his experience in auditing, he is well versed in the regulatory reporting and compliance requirements of the Hong Kong Monetary Authority and the SFC.

Also, Cyrus currently serves as a member of the Banking Regulatory Advisory Panel at the HKICPA.

詳情

活動編號
TPRCR24003002
日期及時間
2024年4月17日, 星期三 (6:30下午 - 9:30下午)
2024年4月18日, 星期四 (6:30下午 - 9:30下午)
地點
香港鰂魚涌英皇道979號太古坊康橋大廈17樓香港證券及投資學會
相關主題
第1類 - 證券交易
第2類 - 期貨合約交易
第3類 - 槓桿式外匯交易
第4類 - 就證券提供意見
第5類 - 就期貨合約提供意見
更多
語言
Trad. Chi / 廣東話
課程時數
SFC:6.00, PWMA:6.00