Compliance, Legislative & Regulatory Standards

[Webinar] Update on Securities Margin Financing


This course aims to provide practitioners an overview of the new guidelines for Securities Margin Financing which are effective from 4 October 2019.


1. Recap of the meaning of the Securities Margin Financing and the related requirements in the Code of Conduct and Internal Control Guidelines
2. Quick summary of (Financial Resources) Rules (“FRR”)
3. Background and Key Requirements of the new Guidelines for Securities Margin Financing (7 key risk control areas)
- Total margin loans controls
- Margin client credit limit controls
- Securities collateral concentration controls
- Margin client concentration controls
- Haircuts for securities collateral
- Margin calls, stopping further advances and forced liquidation
- Stress testing
4. Non-compliance, Self-Reporting and Penalties

Who should attend

This course is mainly targeted to licensed individuals who are involved in securities margin financing. It is also applicable to middle office and compliance department practitioners working in SFC licensed corporations.

Speaker/Course Instructor

Eugene LEE
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
Friday, 9 Jul 2021 (12:00PM - 1:30PM)
Virtual Platform
Relevant Subject
Type 8 - Securities margin financing
Trad. Chi / Cantonese
SFC:1.50, PWMA:1.50