Compliance, Legislative & Regulatory Standards

Asset Management Fundamentals Programme Module 1: Overview of Legal and Regulatory Framework for Securities & Futures Industry (15 hour 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.

Module 1: Overview of Legal and Regulatory Framework for Securities & Futures Industry provides an overview of the regulatory requirements that governs the securities and futures industry, including the asset management sector.

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. Regulatory overview of the Hong Kong financial industry
2. Principles of relevant Hong Kong law and the Companies Ordinance
3. Securities and Futures Ordinance (‘SFO’)
4. Licensing and registration, and subsidiary legislation
5. Business conduct and client relations
6. Business operations and practices
7. Participating in the Hong Kong exchanges
8. Corporate finance and SFC authorised products
9. Market misconduct and improper trading practices

Who should attend

This programme is primarily targeted to those who would like to gain a solid understanding of and/or those who plan to enter into the Asset Management industry sector.

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.

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
Tuesday, 22 Oct 2019 (6:30PM - 9:30PM)
Thursday, 24 Oct 2019 (6:30PM - 9:30PM)
Tuesday, 29 Oct 2019 (6:30PM - 9:30PM)
Thursday, 31 Oct 2019 (6:30PM - 9:30PM)
Monday, 4 Nov 2019 (6:30PM - 9:30PM)
HKSI Institute Training Centre
SFC:15.00, PWMA:15.00