Compliance, Legislative & Regulatory Standards
Asset Management Fundamentals Module 3: Regulation of Asset Management (5-hour intensive 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.
The Asset Management Fundamentals programme has four modules. Module 3: Regulation of Asset Management provides an overview of specific regulatory requirements related to asset management sector.
To address different learner’s needs, Module 3 has two versions: 5 hour intensive class and 10 hour foundation class.
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. General Regulatory Framework
2. Back-office Compliance
3. Asset Management Regulations
Who should attend
This 5-hour module is primarily targeted to those who has extensive experience in securities industry but would like to gain a solid understanding of the Asset Management industry sector to enable them to apply for the Regulated activity Type 9 licence under the Securities and Futures Ordinance. Participants who have no or limited experience in securities industry should attend the 10 hour foundation class.
Participants are required to attend and complete both classes of this 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.