Business Conduct & Ethical Standards
[Webinar] Understanding Ethical Requirements Across HKMA, SFC and PWMA in Private Wealth Management
Overview
Ethics plays a central role in private wealth management by fostering client trust, supporting regulatory compliance, safeguarding institutional reputation, and strengthening long term client relationships. As regulatory expectations evolve, understanding the ethical requirements set by different authorities becomes increasingly important.
This webinar provides practical insights into key ethical risks in Private Wealth Management and offers a structured comparison of ethical standards issued by the HKMA, SFC, and PWMA within Hong Kong’s regulatory environment.
Content
• Comparative review of ethical standards issued by Hong Kong regulators (HKMA, SFC) and the PWMA
• In depth discussion of the PWMA Code of Ethics
• Case studies illustrating common ethical breaches and the resulting regulatory implications
Who should attend
Senior management, including directors, MICs, ROs, and licensed individuals who wish to deepen their understanding of ethical standards in private wealth management.
Speaker/Course Instructor
Following 8 years in the UK, he moved to Asia in 1991, working for a large international investment bank and later became the Head of Investment Advisory Group of their Private Bank in Hong Kong. He was the Head of Investment Services, Advisory and Discretionary for two boutique Swiss private banks and most recently he has worked as a consultant, lecturer and as a Responsible Officer for a Broker and Asset Management Company in Hong Kong.
Mr James obtained an Honors business degree from Wilfrid Laurier University, Waterloo Canada, and an MBA from the University of Toronto, Toronto Canada.