Compliance, Legislative & Regulatory Standards
Asset Management Fundamentals Programme Module 1: Overview of Legal and Regulatory Framework for Securities & Futures Industry (15 hour class)
The Asset Management Fundamentals Programme, which comprises of FOUR modules, is an induction programme designed to equip the financial services practitioners with the required knowledge and skills to enable them to enter into the Asset Management industry.
Module 1: Overview of Legal and Regulatory Framework for Securities & Futures Industry provides an overview of the regulatory requirements that governs the securities and futures industry, including the asset management sector.
Upon successful completion of all FOUR modules of the Asset Management Fundamentals, the participant will be awarded the Certificate of Completion of this programme.
1. Regulatory overview of the Hong Kong financial industry
2. Principles of relevant Hong Kong law and the Companies
3. Securities and Futures Ordinance (‘SFO’)
4. Licensing and registration, and subsidiary legislation
5. Business conduct and client relations
6. Business operations and practices
7. Participating in the Hong Kong exchanges
8. Corporate finance and SFC authorised products
9. Market misconduct and improper trading practices
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.
Participants are required to attend and complete all 5 classes of each module. Attendance record will be issued based on the actual attendance record. For details, please refer to the HKSI Institute's attendance policy and regulations.
Financial Incentive Scheme of the WAM Pilot Programme
This is one of the eligible courses under the Financial Incentive Scheme (“The Scheme”) of the 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 HK$7,000 (whichever is the lower) upon satisfactory completion of a course or seminar over the three-year period of the Scheme.
Each individual may apply for reimbursement for more than one course / seminar.
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.
Please refer to the WAM Pilot Programme website for more details.