Compliance, Legislative & Regulatory Standards

[In-person] Mastering Financial Resources Rules (FRR) with Practical Skills



This course offers a comprehensive overview of Financial Resources Rules (FRR) for SFC licensed corporations, equipping participants with practical knowledge for effective FRR compliance. Key topics covered include share capital, liquid capital requirements, computation basis, notifications, and forms. Engaging mini case studies and capital utilisation exploration enable participants to acquire the necessary skills to navigate FRR effectively within their organisations.


1. Overview of FRR
2. Risks addressed by FRR
3. Share Capital and liquid capital requirements by FRR
4. Computation Basis of FRR
5. Notification and submission requirements
6. Overview of the Forms in FRR returns
7. Mini case study of FRR computations
8. Practical issues on capital utilisation and FRR compliance etc.

Who should attend

Responsible officers, compliance officers, risk managers, legal professionals, investors and individuals working in the financial services industry.

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.
Raymond CHIU
Mr Raymond Chiu has extensive experience in auditing listed companies and financial services firms, including banks, SFC licensed corporations, and investment funds. He has successfully overseen audit and advisory engagements for various clients in the financial services industry, ranging from boutique fund managers to banking institutions. Raymond's clients include financial institutions listed on the Hong Kong Stock Exchange, such as Mainland Chinese city commercial banks, fintech companies, and lending institutions. He also serves SFC licensed corporations like securities brokerage firms and asset management companies, as well as Cayman Islands and Hong Kong domiciled funds.


Date & Time
Monday, 13 Nov 2023 (6:30PM - 9:30PM)
Tuesday, 14 Nov 2023 (6:30PM - 9:30PM)
HKSI Institute, 17/F, Cambridge House, Taikoo Place, 979 King’s Road, Quarry Bay, Hong Kong
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:6.00, PWMA:6.00