Compliance, Legislative & Regulatory Standards

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


The HKMA and SFC have jointly published guidelines and circulars on what is expect 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.


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


- 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 compliance officers.

Financial Incentive Scheme of the WAM Pilot Programme

This course has already been approved as an eligible course of the Financial Incentive Scheme for Professional Training (“the Scheme”) under the Pilot Programme to Enhance Talent Training for the Asset and Wealth Management Sector (“the Pilot Programme”). The Scheme aims to enhance the competency and professionalism of in-service practitioners within the asset and wealth management sector and to assist other practitioners within the financial services industry in acquiring the knowledge and skills required for entering the sector. Eligible applicants will be subsidised 80% of the course fees by the HKSAR Government upon satisfactory completion of the courses approved by Hong Kong Securities and Investment Institute, subject to a ceiling of HK$15,000. Hong Kong Securities and Investment Institute is appointed as the implementation agent of the Pilot Programme. Regarding the details of eligible criteria and application procedures, please refer to the dedicated web-site of the Pilot Programme (

Speaker/Course Instructor

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.


Date & Time
Tuesday, 23 May 2023 (12:30PM - 1:30PM)
Virtual Platform
Relevant Subject
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Regulatory Compliance
SFC:1.00, PWMA:1.00