(Compliance) Risk Mngt & Control Strategy

Cybersecurity - Regulatory Requirements, Challenges And Best Practices


Cybersecurity is a growing concern among financial institutions and business owners in general. You have been hearing news about fraudulent websites, phishing emails, WannaCry ransomware attack, etc. The SFC has issued circulars and guidelines to address cyber security threats and to protect the interest of the industry and investors.

In this course, we will cover the regulatory requirements, challenges, and best practices on cybersecurity in securities and investments industry in Hong Kong.


- Update on the latest regulatory requirements on cybersecurity and development
- The practical challenges or common deficiencies
- The best practice in implementing an effective cybersecurity framework
- Why does cyber security matter to front office sales and investment managers too?
- What should the front, middle and / or back office practitioners do differently to minimise and / or address the cybersecurity risks
- Are there any cyber security solution to securities brokers and asset managers?

Who should attend

This course is suitable for Responsible Officers, Board of Directors, Account Executives, Investment Managers and Analysts, Auditors, Information Security Officers, Compliance Officers, Information Technology Staff, and other securities & investment practitioners.

Speaker/Course Instructor

Leo is the Managing Director at Capital Delight Inc Limited that provides fintech consultancy and executive training to financial and academic institutions. He has taken several general management, regulatory compliance, and IT roles in asset management firms. Prior to his appointments in asset management in recent years, he took various executive roles of capital management and information technology at HSBC in Asia Pacific. Leo is an enthusiastic fintech advisor and he authors fintech articles in business magazines and newspapers. He also serves as an assessment panel member of the Enterprise Support Scheme (ESS) under the Innovation Technology Fund (ITF) at the Government of the HKSAR. He served the HKICT Awards of 2017, 2018 the Best FinTech Award as a Judge. He is a Research Director at Asia Financial Risk Think Tank. Mr. Tong holds a master’s degree in finance from The Chinese University of Hong Kong. He is a full member at the Hong Kong Securities and Investment Institute (HKSI), MHKSI, a Certified Banker (CB) at The Hong Kong Institute of Bankers, and a holder of Certified Information Systems Security Professional (CISSP) at (ISC)2. .


Date & Time
Thursday, 22 Mar 2018 (6:30PM - 9:30PM)
HKSI Institute Training Centre
SFC:3.00, PWMA:3.00