Compliance, Legislative & Regulatory Standards

[Webinar] Asset Management Fundamentals Programme Module 1: Overview of Legal and Regulatory Framework for Securities & Futures Industry (10 hour class)


This is Module 1 of the Asset Management Fundamentals (AMF) Programme, which consists of FOUR modules.  This programme is an induction course 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 1 provides an overview of the regulatory requirements that governs the securities and futures industry, including the asset management sector. This course covers key topics such as Hong Kong financial industry regulations, relevant laws, licensing and registration, business conduct and operations, participating in Hong Kong exchanges, corporate finance, and market misconduct. Participants will gain the knowledge and skills required to ensure compliance with regulatory requirements and maintain high standards of business conduct.

Other modules in this training series:

Module 2: Financial Markets

Module 3: Regulation of Asset Management

Module 4: Asset Management

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


1. Regulatory overview of the Hong Kong financial industry
2. Principles of relevant Hong Kong law and the Companies Ordinance
3. Securities and Futures Ordinance (‘SFO’)
4. Licensing and registration, and subsidiary legislation
5. Business conduct and client relations
6. Business operations and practices
7. Participating in the Hong Kong exchanges
8. Corporate finance and SFC authorised products
9. Market misconduct and improper trading practices

Who should attend

This programme is primarily targeted to individuals who would like to gain a solid understanding of, or those who plan to enter, the Asset Management industry sector.

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

Ms. Yau was a Senior Compliance Manager of a bank and has extensive experiences in compliance function of various financial institutions. She is experienced in delivering compliance related training. She was awarded the degrees of the Bachelor Degree of Arts in Accountancy and the Master of Laws in Corporate & Financial Law.


Date & Time
Monday, 18 Sep 2023 (6:30PM - 9:00PM)
Friday, 22 Sep 2023 (6:30PM - 9:00PM)
Monday, 25 Sep 2023 (6:30PM - 9:00PM)
Thursday, 28 Sep 2023 (6:30PM - 9:00PM)
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
Trad. Chi / Cantonese
SFC:10.00, PWMA:10.00