(Compliance) Risk Mngt & Control Strategy

[Webinar] Conduct Risk Framework and Sound Risk Culture for Fund Management

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Overview

Conduct risk is broadly defined as any action of a financial institution or individual that leads to customer detriment, or has an adverse effect on market stability or effective competition. Regulators are putting lens on the behavior of individual and firms and hold them accountable for their misconduct behaviour.

Objective

This webinar allow participants to understand the fundamental and techniques in effective conduct risk management.

Content

1. Internal Governance and Oversight
2. Inherent and external risk assessment in Asset Management
3. Conduct Risk Tracker
4. Regulatory requirements
5. Case study

Who should attend

The webinar is primarily targeted at fund managers, asset managers, in-house counsel & compliance and senior management such as Responsible officers, Managers-in-Charge, directors, CIOs, COOs and CEOs.

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 for courses/seminars held for the period from 1 October 2016 to 31 August 2022 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

WU Sze Yin
Mr Wu possesses over 20 years of experience in banking, securities, assets management and consultancy. He is a qualified accountant, fraud examiner and professional risk manager. He obtained his MBA from the University of Hull, UK.

Mr Wu is currently the Chairman of Asia Financial Risk Think Tank, Hong Kong Chapter of the Institute of Operational Risk (IOR) as well as the Institute of Risk Management (IRM). He is advisor of various financial institutions, associations and universities in HK, China and Singapore on investment and risk related matters. He has published articles and whitepapers on current financial and risk management topics in Chinese and Western public and government media.

Details

Code
TPRRM22002801
Date & Time
Thursday, 31 Mar 2022 (6:30PM - 8:30PM)
Venue
Virtual Platform
Language
Trad. Chi / Cantonese
Hours
SFC:2.00, PWMA:2.00