WAM Pilot Programme

Overview of Legal & Regulatory Framework for Securities & Futures Industry

This intensive course provides a high level overview of the Hong Kong legal and regulatory framework for Securities and Futures Industry including the objectives, functions and roles of key participants and regulators.

Note: Participants who plan to obtain the Certificate of Completion of Asset Management Fundamentals Programme or Back Office Fundamentals for Wealth and Asset Management Programme should attend Module 1 of the respective programme (i.e. the 15-hour version).

The content covered in this course includes:

  • Securities industry in HK
  • Sources of regulation
  • Regulatory overview of the HK financial markets
  • Profile of participants in the Securities and Futures Industry
  • Hong Kong Corporate Laws and the Companies Ordinance
  • Corporate Governance
  • Anti-money laundering  / Counter Terrorists Financing
  • SFC Code of Conduct
  • The Securities and Futures Ordinance (SFO)
  • Latest regulatory development
  • useful websites
  • recap of key learning and conclusion