[Webinar] Streamlined Approach when Dealing with SPIs – Implementation and Risks
With the new Sophisticated Professional Investors (SPIs) circular published by HKMA and SFC in place, financial institutions will need to consider the implications of the circular and adapt their business operations to adhere to the regulators’ guidelines if they wish to take advantage of the streamlined approach when dealing with SPIs.
This joint webinar with Private Wealth Management Association (PWMA) will focus on how financial institutions can implement the new guidelines, concerns and compliance issues, as well as how to mitigate the risks arising from implementing the streamlined approach.
Panel Speakers of this moderated panel discussion:
- Mr Lawrence Cheung, Operating Head, Credit Suisse Hong Kong Branch (UBS Group)
- Mr Peter Stein, CEO & Managing Director, PWMA
- Mr Sam Farage, Director, Wealth Management Consulting, EY
Moderator: Ms Jennifer Hsieh, Executive Director, PWMA
Who should attend
This joint webinar is targeted at senior management, MIC, RO, compliance officers, risk managers and family office professionals working in financial institutions, such as banks, private wealth and asset management firms, who are responsible for dealing with Sophisticated Professional Investors (SPIs).