Asset Management Fundamentals


Overall Aim

To equip the target learners with the required knowledge and skills to enable them to enter into the Asset Management industry.

Programme Structure

Key topics to be coveredDuration
1. Overview of Legal and Regulatory Framework for Securities & Futures Industry Note 1
  • Regulatory overview of the Hong Kong financial industry
  • Principles of relevant Hong Kong law and the Companies Ordinance
  • Securities and Futures Ordinance (‘SFO’)
  • Licensing and registration, and subsidiary legislation
  • Business conduct and client relations
  • Business operations and practices
  • Participating in the Hong Kong exchanges
  • Corporate finance and SFC authorised products
  • Market misconduct and improper trading practices
2. Financial Markets Note 1
  • The global financial system
  • Financial system in Hong Kong
  • The equity market
  • The debt market
  • The foreign exchange and derivatives markets
  • Financial risk management
  • Applications in the financial sector
3. Regulation of Asset Management
  • General Regulatory Framework
  • Back-office Compliance
  • Asset Management Regulations
  • Misconduct
4. Asset Management
  • Overview of the Asset Management Industry
  • Client Objectives and the Products Available
  • Basic Theoretical Aspects of Portfolio Management
  • The Investment Management Process
Total: 50

Note 1: Modules 1 & 2 are the core and shared modules of the “Back Office Fundamentals for Wealth & Asset Management Programme”.

Participants are strongly encouraged to take Modules 1 and 2 prior to taking Modules 3 and 4.

Who Should Attend

This programme is primarily targeted to those who would like to gain a solid understanding of and/or those who plan to enter into the Asset Management industry sector.


All classes are taught by highly qualified individuals who are subject matter experts with an excellent understanding of the knowledge area.  Instructors have substantial industry experiences in their relevant areas.

Medium of Instruction

The medium of instruction will be in English or Cantonese.

Continuous Professional Training (CPT) Recognition

Upon successful completion of each module, the participant will gain the equivalent CPT hours recognised by the Securities and Future Commission.

Completion Criteria

Participants are required to attend and complete all classes specified by each module. Attendance record will be issued based on the actual attendance record. For details, please refer to HKSI Institute's attendance policy and regulations.

Upon successful completion of all FOUR modules, the participant will be awarded the Certificate of Completion of this programme.

Schedule and Fees

Module Schedule Fees
Note 1
Non Member
1. Overview of Legal and Regulatory Framework for Securities & Futures Industry Training calendar HK$ 3,750 HK$ 4,650
2. Financial Markets Training calendar HK$ 3,750 HK$ 4,650
3. Regulation of Asset Management Training calendar HK$ 2,500 HK$ 3,100
4. Asset Management Training calendar HK$ 2,500 HK$ 3,100

Note 1 – Member refers to HKSI Institute Individual Member or Staff of HKSI Institute Corporate Members
All fees are subject to change without prior notice.

Financial Incentive Scheme of the WAM Pilot Programme

Effective 1 October, 2016, “Asset Management Fundamentals” is one of the eligible courses/programmes under the Financial Incentive Scheme for Professional Training of WAM Pilot Programme.

In-service practitioners of the financial services industry will be eligible for the Scheme.  They will be reimbursed 80% of the course fees, subject to a maximum of $7,000 (whichever is the lower) upon satisfactory completion of a course or seminar under the selected programmes of the Scheme.

Each individual may apply for fee reimbursement for more than one course / seminar, up to a ceiling of $7,000 per person over the three-year period of the Scheme.

Application to reimburse the course fees, together with the required documents, must be submitted within four months from the last day of the course attended.

For Asset Management Fundamentals Programme, eligible individual can apply for course reimbursement upon satisfactory completion of each module. Please refer to the WAM Pilot Programme website (Financial Incentive Scheme) for application details.