(Compliance) Risk Mngt & Control Strategy
[Webinar] Navigating Climate-related Risks Requirements for Fund Managers
Overview
The Securities and Futures Commission (SFC) amended the Fund Manager Code of Conduct (FMCC) to require Fund Managers managing collective investment schemes (CIS) to take climate-related risks into consideration in their investment and risk management processes and make appropriate disclosures. This seminar provides an overview of key requirements, including governance, investment management, risk management and disclosure.
Content
1. Overview of SFC’s requirements
2. Applicability of the requirements
3. Relevance and materiality assessment
4. Requirements under the Fund Manager Code of Conduct (FMCC)
• Governance
• Investment Management
• Risk Management
• Disclosures
Who should attend
The webinar is primarily targeted at fund managers, asset managers, in-house counsel & compliance, senior management such as Responsible officers, Managers-in-Charge, directors, CIOs, COOs, CEOs and financial institutions and investors who would like to have a better understanding of current issues in climate-related risks requirements.
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 (https://www.wamtalent.org.hk/).
Speaker/Course Instructor
Kevin joined from the Intermediaries Supervision Department of the Securities and Futures Commission (SFC), responsible for ongoing supervision and inspections of licensed corporations. Prior to that, Kevin worked in Asset Management Industry Group of PricewaterhouseCoopers (PwC).
Kevin is an active contributor to the asset management industry. Kevin was appointed as a member of HKICPA Securities Regulatory Advisory Panel, which is comprised of experienced industry practitioners.
He is a Certified Public Accountant (CPA), Chartered Financial Analyst (CFA) and Certified Anti-money Laundering Specialist (CAMS). He holds Bachelor of Business Administration in Professional Accountancy and Master of Laws (Compliance and Regulations) degrees.