Compliance, Legislative & Regulatory Standards

Amendments to the Professional Investor Regime


The Securities and Futures (Professional Investor) (Amendment) Rules 2018 (PI Rules) took effect on 13 July 2018 to standardise the rules for prescribing professional investors. The amendments in the PI Rules were made to improve operational efficiency and provide more flexibility without compromising investor protection.

This course provides a recap of the PI Rules amendments to the legislative and regulatory requirements and discuss the impact and application of the Rules.


1. Background of the PI Rules
2. Key Amendments of the PI Rules
3. Impact of the Rules on Your Business
4. Applications of the Rules

Who should attend

It is primarily targeted to those who are interested to know and apply the amended PI Rules.

Speaker/Course Instructor

Ms. Yau was a Senior Compliance Manager of a bank and has extensive experiences in compliance function of various financial institutions. She is experienced in delivering compliance related training. She was awarded the degrees of the Bachelor Degree of Arts in Accountancy and the Master of Laws in Corporate & Financial Law.


Date & Time
Monday, 8 Jul 2019 (6:30PM - 8:30PM)
HKSI Institute Training Centre
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Trad. Chi / Cantonese
SFC:2.00, PWMA:2.00