Compliance, Legislative & Regulatory Standards

[Webinar] Asset Management Fundamentals Module 3: Regulation of Asset Management (5-hour intensive 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.

The Asset Management Fundamentals programme has four modules. Module 3: Regulation of Asset Management provides an overview of specific regulatory requirements related to asset management sector.

To address different learner’s needs, Module 3 has two versions: 5 hour intensive class and 10 hour foundation class.

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. General Regulatory Framework
2. Back-office Compliance
3. Asset Management Regulations
4. Misconduct
5. Quiz

Who should attend

This 5-hour module is primarily targeted to those who has extensive experience in securities industry but would like to gain a solid understanding of the Asset Management industry sector to enable them to apply for the Regulated activity Type 9 licence under the Securities and Futures Ordinance. Participants who have no or limited experience in securities industry should attend the 10 hour foundation class.

Financial Incentive Scheme of the WAM Pilot Programme

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

Eligible in-service practitioners of the financial services industry could apply for a reimbursement up to 80% of the course / seminar fees, or a maximum of HK$10,000 per person throughout the period of 1 October 2016 to 31 March 2023 upon satisfactory completion.

Each individual may apply for reimbursement for more than one course / seminar subject to a maximum of HK$10,000 but each course / seminar can only be reimbursed once.

The duly signed application form together with the FIVE supporting documents must be submitted within FOUR months from the last day of the course / seminar attended. Please refer to the WAM Pilot Programme website for more details.

WAM Pilot Programme Special Requirements

If you plan to apply for reimbursement under the Financial Incentive Scheme (FIS), please ensure your device/computer has the camera feature or with webcam installed as you are required to turn on your camera throughout the webinar.

Speaker/Course Instructor

Wilkie LAI
Wilkie has been in the Banking and Asset Management industry for around 20 years, spanning across various areas like risk management, operations, technology, client development, legal, and compliance. Wilkie’s vast experience includes being Head of Compliance for Dragon Capital Group, a US$1.5 billion+ AUM regional fund. Prior to that he was Chief Risk Officer and Managing Director at TriBridge Investment Partners, a pan-Asian US$350 million+ credit hedge fund. Wilkie also headed up risk management functions for a number of financial institutions including Bank of China (Hong Kong) as well as Banca Intesa S.p.A. Wilkie had previously held key roles at Thomson Reuters’s and Andersen Consulting (now Accenture). His latest venture involves a Legal/RegTech initiatives affiliated with the Hong Kong Science and Technology Park. Wilkie is a lawyer and a member of the Law Society of New South Wales Australia. He studied law at Chinese University of Hong Kong and Australia National University. He further received a M.Sc. degree in Information System Management from Hong Kong University of Science and Technology, and a B.A. degree in Computer Science from the University of California.
Benny TO
Mr To is currently the Compliance Head of an international financial institution. He oversees the compliance function of various wealth management businesses including private banking, stock and futures brokerages, trusts and asset management. He provides advice, review and approach wealth management products and related sales materials. He also has several years of experience in the dealing of foreign exchange, money market and fixed-income securities in the Treasury Department of a local bank in Hong Kong.

He is an experienced trainer and has provided training to internal staff and professional institutions.e obtained his Master of Science (Banking) degree and LLM (International Business Stream) from the City University of Hong Kong. He also obtained the CFA, CPA(US) designations from the professional organisations


Date & Time
Wednesday, 24 Feb 2021 (6:30PM - 9:00PM)
Friday, 26 Feb 2021 (6:30PM - 9:00PM)
Virtual Platform
Relevant Subject
Type 9 - Asset management
Regulatory Compliance
Trad. Chi / Cantonese
SFC:5.00, PWMA:5.00