WAM Annual Regulatory Update 2019 - Practical Challenges of the New Fund Manager Code of Conduct and AML

WAM Annual Regulatory Update 2019 - Practical Challenges of the New Fund Manager Code of Conduct and AML

New Seminar


This is the second part of the 2019 WAM Annual Regulatory Update.

(A) New FMCC - Practical Implementation issues
The SFC's new Fund Manager Code of Conduct (New FMCC) came into effect on 18 November 2018. Ms Helen Li from PwC will share her views on the common challenges that industry players have experienced on their journey to compliance with the revised FMCC

The Hong Kong Private Wealth Management 2018 report, jointly authored by the Private Wealth Management Association (PWMA) and KPMG China, anticipated that the industry’s Assets under Management (AuM) will double over the next five years. The survey respondents reported that onboarding and regulations are top concerns for the industry. Mr Hokee Fu from PwC will share his views of the key AML challenges faced by the industry.

(C) Panel discussion
Mr Samuel Choi will moderate a panel discussion on the challenges faced by the Asset and Wealth Management industry. Panel members include:
Mr Hokee Fu, PwC
Mr Wilkie Lai, aiM Group
Mr Alex Leung, aiM Group
Ms Helen Li, PwC
Ms Vivien Teu, Vivien Teu & Co LLP

Who should attend

Practitioners in the Asset and Wealth Management industry

Financial Incentive Scheme of the WAM Pilot Programme

This is one of the eligible courses / seminars / conferences under the Financial Incentive Scheme (“The Scheme”) of the WAM Pilot Programme.

Eligible in-service practitioners of the financial services industry could apply for reimbursement of 80% of the course fees, subject to a maximum of HK$7,000 (whichever is lower) upon satisfactory completion of a course / seminar / conference over the three-year period of the Scheme.

Each individual may apply for reimbursement for more than one course / seminar / conference.

Application to reimburse the course fees, together with the required documents, must be submitted within four months from the last day of the course / seminar / conference attended. Please refer to the WAM Pilot Programme website for more details.


Date & Time
Thursday, 30 May 2019 (12:20PM - 1:50PM)
HKSI Institute Training Centre
SFC:1.50, PWMA:1.50
All Member: HK$375
Staff of Corporate Member: HK$375
Non-Member: HK$750