Asset Management

(Asset and Wealth Management Annual Regulatory Update 2018) Course 2 – Opportunities and Challenges of the WAM Industry


Speakers representing the industry will share their views on the opportunities and challenges of the asset and wealth management industry.

  • What are the skill sets you'll need in the current market environment?
  • What opportunities would arise from the collaboration between Mainland China and Hong Kong?
  • Fintech in the asset and wealth management space - is this a disruptor or an enabler?


Topic 1 - What skill sets and knowledge should market participants be equipped with to enhance their competitiveness in today’s asset management world?

Professor Stan Ho will share his views on the knowledge and skills practitioners will need to develop in order to cope with developments in the emerging market (such as green bonds) and other areas including asset securitisation, private equity in FinTech, and KYC. 

Topic 2 - Mainland-Hong Kong Collaboration in Asset Management.

Mr Shen Hua will highlight the similarities and differences between the regulations of the two places. He will also discuss the opportunities arising from the Shanghai-Hong Kong Stock Connect, Shenzen-Hong Kong Stock Connect, Bond Connect and Hong Kong-China Mutual Recognition of Funds (MRF).

Topic 3 - How does the regulatory environment in Hong Kong present opportunities and challenges to the asset management industry?

Mr Pong Po-lam will share his views on how Fintech assists the asset management sector in investment, compliance and distribution.  Will Chinese fund managers pose a threat to domestic fund managers with China expertise?

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.

Speaker/Course Instructor

Mr. Pong is a Managing Director at Pegasus Fund Managers Ltd., Executive Director of China Financial International Investments Ltd., Chairman at Shenzhen Qianhai Prudence Investment Fund Management Co. Ltd., Non-official member of Human Capital Committee Financial Services Development Council, Member of Advisory COmmittee of Hang Seng Indexes Co. Ltd., Chairman & Founder of Insitute of Financial Technologists of Asia Ltd., Founding Vice-Chairman & Vice Chairman of The Hong Kong Institute of Financial Analysts and Professional Commentators Ltd., Member of Court of City University of HK, Member of HKU SPACE College of Business & Finance - Business Studies Advisory Board, Regular contributor for HK Economic Journal, Chairman of Investment & Fund Management Services at CEPA Business Opportunities Development Alliance, Vice President at Hong Kong Shanxi Chamber of Commerce Ltd.
Mr Shen is the Chief Executive Officer of BOCHK Asset Management Limited. Concurrently, Mr Shen is the Vice Chairman of Hong Kong Investment Funds Association. Prior to joining the company in February 2016, since 2012, Mr Shen was the President and CEO of YGD Asset Management (Hong Kong) Limited where he established the company and developed asset management business to provide wide ranges of products, from equity to bond and private equity investment. During this time, Mr Shen also held the role as CEO of YGD Securities (HK) Limited to set up its security brokerage business. Mr Shen has extensive experience in senior management at multinational financial institutions and working overseas. He held senior positions since he joined Mitsubishi UFJ Securities (HK) Limited from 2004 till 2011, where he led sales team and trading team to cover Asia market (excluding Japan) to serve various institutional clients, including sovereign funds, semi-sovereign funds and large financial institutions in the region. Mr Shen started his career at Bank of China and he had worked at the International Department, CEO office and Treasury Department in Beijing before he later moved to Bank of China's London office as Head of Treasury & Capital Markets. Mr Shen holds a Master in Finance from the London Business School, UK and a Bachelor’s Degree of Arts in Economics from Shanghai International Studies University, Shanghai, China.
Stan HO
Dr Ho is a credit risk expert with about 20 years of industry experience in banking and finance. He has held positions at the international financial institutions. His experience includes corporate finance, equity capital markets, structured products/securitisation and credit rating. He also has experience in teaching various finance subjects. He graduated with MBA from the University of Cambridge.


Date & Time
Wednesday, 7 Feb 2018 (2:30PM - 4:30PM)
HKSI Institute Training Centre
SFC:2.00, PWMA:2.00