Compliance, Legislative & Regulatory Standards

Back Office Fundamentals for Wealth & Asset Management Programme Module 4: Operational Requirements under the SFO

New Full


The module will cover main regulatory requirements on key operations function of wealth and asset management and how to effectively and efficiently comply with those requirements.


To equip the participants with required knowledge and skills to enable them to work effectively in Back Office functions. The course is practical in nature as it will cover not only regulatory requirements but also some close to real life case studies.


1. Overview of back office functionality and MICs
2. Major Securities and Futures Rules
- Contract Notes, Statements of Account and Receipts Rules
- Financial Resources Rules
- Client Securities Rules
- Client Money Rules
- Accounts & Audit Rules
- Keeping of Records Rules
- Insurance Rules
3. Reporting of Non-Compliance
4. Licensing Requirements
5. Business Contingency Plan
6. Other Practical Operational Issues
7. Case Studies

Who should attend

This module is primarily targeted to those who would like to gain a solid understanding of and/or those who plan to enter into the operations function of the asset or wealth management industry sector.

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

Eugene LEE
Mr Lee was the Head of Legal & Compliance of a financial institution and has held various senior positions in the legal and compliance department in financial services and securities firms. Mr Lee obtained his BCom/LLB from University of New South Wales and MBA from University of South Australia. He is a fellow of Institute of Chartered Accountants Australia and New Zealand, member of the Hong Kong Institute of Certified Public Accountants, fellow of the Financial Services Institute of Australasia and senior fellow of the Hong Kong Securities and Investment Institute.


Date & Time
Friday, 27 Sep 2019 (6:30PM - 9:30PM)
Monday, 30 Sep 2019 (6:30PM - 9:30PM)
HKSI Institute Training Centre
Relevant Subject
Type 1 - Dealing in securities
Regulatory Compliance
New, Full
Trad. Chi / Cantonese
SFC:6.00, PWMA:6.00