Compliance, Legislative & Regulatory Standards

[Webinar] Asset Management Fundamentals Module 3: Regulation of Asset Management


This is Module 3 of the Asset Management Fundamentals (AMF) Programme, which consists of FOUR modules.  AMF is an induction programme designed to equip the financial services practitioners with the required knowledge and skills to enable them to enter into the Asset Management industry.

This Module 3 provides an overview of specific regulatory requirements related to asset management sector.

Through this module, participants will gain a comprehensive understanding of the regulatory requirements related to the asset management sector. They will learn about the general regulatory framework, compliance requirements for back-office operations, specific asset management regulations, and the implications of misconduct in the industry.

Other modules in this training series:

Module 1: Overview of Legal and Regulatory Framework for Securities & Futures Industry (10 hour class)

Module 2: Financial Markets

Module 4: Asset Management

Upon completing all FOUR modules, participants will receive a Certificate of Completion for the AMF programme.


1. General Regulatory Framework
2. Back-office Compliance
3. Asset Management Regulations
4. Misconduct
5. Quiz

Who should attend

This module is primarily targeted to those who has extensive experience in securities industry but would like to gain a solid understanding of the Asset Management industry sector to enable them to apply for the Regulated activity Type 9 licence under the Securities and Futures Ordinance. 

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

Ming Ho Leo WONG
Leo Wong, a Certified Public Accountant (CPA) and Financial Risk Manager (FRM), brings a wealth of experience to his role as Vice President (COO) of aiM Group. He started his career at PricewaterhouseCoopers Hong Kong, focusing on auditing, risk management, and compliance in the Financial Industry. Prior to joining aiM Group, Leo served as Head of Compliance for an SFC-licensed securities broker and asset management firm. At aiM Group, he oversees different functions in Aim Capital Consortium Limited, an SFC-licensed asset management firm with licenses of Regulated Activities of Type 4 and 9, leveraging his diverse range of buy-side and sell-side experience.


Date & Time
Wednesday, 23 Aug 2023 (6:30PM - 9:00PM)
Thursday, 24 Aug 2023 (6:30PM - 9:00PM)
Virtual Platform
Relevant Subject
Type 9 - Asset management
Regulatory Compliance
Trad. Chi / Cantonese
SFC:5.00, PWMA:5.00