Regulatory Update Series

WAM Regulatory Update 2019 - Lessons Learnt from Disciplinary Actions in 2018 Relevant to WAM Practitioners



In 2018, the disciplinary actions involving practitioners in the Asset and Wealth Management industry related to product due diligence, client profiling and suitability assessment.  Join us to understand better the updated SFC Disciplinary Fining Guidelines gazetted on 10th August 2018.


  • Review of case studies
  • Review SFC’s new fining guideline issued on 10th August 2018

Who should attend

Practitioners in the Asset and Wealth Management industry 

Financial Incentive Scheme of the WAM Pilot Programme

This is one of the eligible courses / seminars / conferences under the Financial Incentive Scheme (“The Scheme”) of the WAM Pilot Programme.

Eligible in-service practitioners of the financial services industry could apply for reimbursement of 80% of the course fees, subject to a maximum of HK$7,000 (whichever is lower) upon satisfactory completion of a course / seminar / conference over the three-year period of the Scheme.

Each individual may apply for reimbursement for more than one course / seminar / conference.

Application to reimburse the course fees, together with the required documents, must be submitted within four months from the last day of the course / seminar / conference attended. Please refer to the WAM Pilot Programme website for more details.


Speaker/Course Instructor

Professor of Practice in Finance at the University of Hong Kong.

Professor Wong teaches compliance and financial regulations in the Master of Law programme at the Faculty of Law and in the Bachelor of Finance programme at the Faculty of Business and Economics. Before she took up an academic role, Professor Wong was the Head of Private Banking, Greater China at Credit Suisse. Professor Wong has extensive experience in the financial sector covering private bank, corporate bank, securities and risk management. She had served as the Chief Executive Officer, Executive Officer and Responsible Officer of various financial institutions. Professor Wong holds a Master of Business Administration at the Chinese University of Hong Kong and a Juris Doctor at the University of Hong Kong.


Date & Time
Thursday, 21 Feb 2019 (12:20PM - 1:20PM)
HKSI Institute Training Centre
SFC:1.00, PWMA:1.00