(Compliance) Risk Mngt & Control Strategy

[Webinar] Operational Resilience for Financial Services

Overview

Operational resilience is defined in quite broad terms, with a focus on outcomes and an expectation around responsiveness and time. Hong Kong's Securities and Futures Commission (SFC) published the new Report on Operational Resilience and Remote Working Arrangements on 4 October 2021 that brings together supervisory discussions with licensed corporations (LCs) during the COVID-19 pandemic as well as leveraging international best practices.

Objective

This webinar enables the participants to understand the fundamental and execution of effective operational resiliency and remote working arrangement.

Content

1. Types of resilience risk
2. Resiliency risk framework
3. Effective tools of planning, execution and testing
4. Regulatory requirements
5. Case Study

Who should attend

The webinar is targeted at all licensees, particularly senior management such as Responsible officers, Managers-in-Charge, directors, CIOs, COOs, CEOs and in-house counsel & compliance.

Speaker/Course Instructor

Dominic WU
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
TPRRM22002703
Date & Time
Monday, 22 Aug 2022 (6:30PM - 8:30PM)
Venue
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Type 6 - Advising on corporate finance
Type 7 - Providing automated trading services
Type 8 - Securities margin financing
Type 9 - Asset management
Type 10 - Providing credit rating services
Type 11 - Dealing in OTC derivative products or advising on OTC derivative products
Type 12 - Providing client clearing services for OTC derivative transactions
Ethics/Compliance
Language
Trad. Chi / Cantonese
Hours
SFC:2.00, PWMA:2.00
Fees
All Member: HK$540
Staff of Corporate Member: HK$540
Non-Member: HK$1080
Student Member (UHKSI): HK$270