Compliance, Legislative & Regulatory Standards
Update on Client Assets Protection and Third-party Deposits and Payments
This course aims to provide practitioners an overview of the new SFC requirements on client assets protection and third-party deposits and payments.
1.New requirements on client assets protection (Circular issued by SFC in July 2019)
- Acknowledgement letter
- Client Securities Rules and Client Money Rules and their related implications
- Self-reporting of non-compliance with the Rules
2. AML update on the third-party deposits and payments issued by SFC in May 2019
Who should attend
This course is mainly targeted to front line staff, in particularly who involved in securities dealing / advising and asset management activities. It is also applicable to middle office and compliance department practitioners working in SFC licensed corporations.
Mr Lee was the Head of Legal & Compliance of a financial institution and has held various senior positions in the legal and compliance department in financial services and securities firms. Mr Lee obtained his BCom/LLB from University of New South Wales and MBA from University of South Australia. He is a fellow of Institute of Chartered Accountants Australia and New Zealand, member of the Hong Kong Institute of Certified Public Accountants, fellow of the Financial Services Institute of Australasia and senior fellow of the Hong Kong Securities and Investment Institute.
Date & Time
Tuesday, 17 Dec 2019 (4:45PM - 5:45PM)
HKSI Institute Training Centre
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Type 8 - Securities margin financingMore
Trad. Chi / Cantonese