Compliance, Legislative & Regulatory Standards

[Webinar] Regulatory Requirements when Selling Complex and Virtual-Assets Related Products

Overview

The HKMA and SFC have jointly published guidelines and circulars on what is expected of institutions when selling Complex Products and VA-related products.

This one-hour course covers what these products are, and the relevant requirements as prescribed by the SFC.

Objective

By the end of the course, the participants will be refreshed on the regulatory requirements in selling complex and VA-related products.

Content

- What are Complex Products?
- Client Suitability and Products Due Diligence
- Investor Characteristics requirements
- Risks and Selling Considerations with Complex Products
- SFC Requirements for Selling Complex Products
- SFC Requirements for Selling VA-related Products

Who should attend

The course is targeted to licensed representatives who need to advise clients on securities and futures and the Compliance officers.

Speaker/Course Instructor

Todd JAMES
Mr. James has over 25 years of international banking experience, which includes risk management, debt capital markets, derivatives trading, investment advisory and portfolio management.

He has worked in Toronto, London and since 2001, in Hong Kong. He began his career in investment banking and later held positions as the head of investment advisory and discretionary investment services for Swiss private banks based in Asia.

Mr. James is currently a Responsible Officer for an Asset Management Company in Hong Kong, while in his spare time he operates an independent consulting firm conducting training and seminars on compliance, investments and wealth management topics.

Mr. James holds an MBA from the University of Toronto and is the author of “Interest Rate Derivatives: A Practical Guide to Applications, Pricing and Modelling” published by Riskbooks in 2006.

Details

Code
TPRCR22018001
Date & Time
Monday, 12 Dec 2022 (12:30PM - 1:30PM)
Venue
Virtual Platform
Relevant Subject
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Ethics/Compliance
Regulatory Compliance
Tags
New
Language
English
Hours
SFC:1.00, PWMA:1.00
Fees
All Member: HK$270
Staff of Corporate Member: HK$270
Non-Member: HK$540
Student Member (UHKSI): HK$135