[Webinar] Avoiding Dubious Arrangements and Transactions

[Webinar] Avoiding Dubious Arrangements and Transactions

New Lunch & Learn

Overview

Asset managers should be wary of red flags for dubious private fund and discretionary account arrangements or transactions. They should focus on substance over form throughout the entire process of operation. This training highlights the expected standard of conduct of asset managers and their senior management when structuring private funds or discretionary accounts and effecting transactions.

Objective

By the end of this training, participants will be able to know:
1. The key principles of General Code of Conduct (GP1 & GP2) for asset managers
2. The red flags for dubious private fund and discretionary account arrangements or transactions
3. How to balance out the scenario of structuring private funds or discretionary accounts without contradicting investor’s objectives

Content

- The principles under the General Code of Conduct that are applicable to asset managers
- Red flags for dubious private fund and discretionary account arrangements or transactions
- Expected standard of conduct of asset managers
- Proper procedures of asset managers to conduct transactions, namely, initial screening, detailed due diligence, senior management assessment and decision, and documentation
- Case studies

Who should attend

Asset managers and their senior management who are managing private fund and discretionary account arrangements or transactions; compliance staff; auditors and wealth management staff.

Speaker/Course Instructor

Daniel JIM
Mr. Jim is the founder and Chief Investment Advisor of Tripod BoLe. He started his career in Europe and was instrumental in supporting major European institutions' initial investments into Chinese equities. He subsequently founded one of the first home-grown independent investment management firms in Greater China, focusing on alternative investment strategies. Over the years, Mr. Jim has established himself as one of the Asia pioneers in global hedge fund investments, allocating investments to over 100 funds in the region and globally. Daniel earned his Bachelor and Master degrees at the Chinese University of Hong Kong and SDA Bocconi in Milan, respectively, upon graduating from St. Joseph’s College in Hong Kong.

Details

Code
TPRCR20011501
Date & Time
Wednesday, 26 Aug 2020 (12:00PM - 1:30PM)
Venue
Virtual Platform
Language
Trad. Chi / Cantonese
Level
Intermediate
Hours
SFC:1.50, PWMA:1.50