Asset Management Fundamentals Module 3: Regulation of Asset Management (5-hour intensive class)

Asset Management Fundamentals Module 3: Regulation of Asset Management (5-hour intensive class)

Overview

The Asset Management Fundamentals Programme, which comprises of FOUR modules, is an induction programme designed to equip the financial services practitioners with the required knowledge and skills to enable them to enter into the Asset Management industry.

The Asset Management Fundamentals programme has four modules. Module 3: Regulation of Asset Management provides an overview of specific regulatory requirements related to asset management sector.

To address different learner’s needs, Module 3 has two versions: 5 hour intensive class and 10 hour foundation class.

Upon successful completion of all FOUR modules of the Asset Management Fundamentals, the participant will be awarded the Certificate of Completion of this programme.

Content

1. General Regulatory Framework
2. Back-office Compliance
3. Asset Management Regulations
4. Misconduct
5. Quiz

Who should attend

This 5-hour module is primarily targeted to those who has extensive experience in securities industry but would like to gain a solid understanding of the Asset Management industry sector to enable them to apply for the Regulated activity Type 9 licence under the Securities and Futures Ordinance. Participants who have no or limited experience in securities industry should attend the 10 hour foundation class.

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

Felix CHAN
Felix started his career as an auditor at CCIF CPA Limited in Hong Kong. From there he moved into corporate consultancy for Alliance Financial Intelligence Limited and participated in Pre-IPO projects for clients based in the PRC.

He was then appointed Corporate Controller of CT Electronics Group to facilitate for the reverse takeover process of the company by a listed company on the Toronto Stock Exchange. After the completion of the said transaction, Felix moved onto managing the project division of a company listed on the Hong Kong Stock Exchange.

Felix then took a break from the corporate scene and started his own education business with partners in Shenzhen, China. The business was subsequently sold to partners and Felix returned to Hong Kong to take up the position of Associate Manager at the HKMA.

Since then Felix has worked at Grandtop International Capital Limited specializing in Internal Control for listed companies. Felix holds a double degree in Law and Business Administration from the University of Hong Kong. Felix is an internal control and operational risk management consultant for listed companies as well as asset management companies. He specializes in implementing internal control and risk management systems, procedures and policies for companies and regulated entities.
Benny TO
Mr To is currently the Compliance Head of an international financial institution. He oversees the compliance function of various wealth management businesses including private banking, stock and futures brokerages, trusts and asset management. He provides advice, review and approach wealth management products and related sales materials. He also has several years of experience in the dealing of foreign exchange, money market and fixed-income securities in the Treasury Department of a local bank in Hong Kong.

He is an experienced trainer and has provided training to internal staff and professional institutions.e obtained his Master of Science (Banking) degree and LLM (International Business Stream) from the City University of Hong Kong. He also obtained the CFA, CPA(US) designations from the professional organisations
Cyrus Yat Sing FONG
Cyrus has considerable audit and financial services industry experience in providing services to listed banks, listed securities brokerage firms, asset management companies, investment agencies, private equity funds and other financial institutions in Hong Kong, China and overseas. He has comprehensive knowledge on the regulatory reporting requirements and related compliance matters of Hong Kong Monetary Authority and Securities and Futures Commission of Hong Kong. He has specialized in serving financial services industry clients, especially for clients who have Type 1, 4, 9 licences since joining Big-4 audit practice in 2007 prior to joining Crowe Horwath.

Details

Code
TQRCR19005301
Date & Time
Wednesday, 20 Nov 2019 (6:30PM - 9:00PM)
Friday, 22 Nov 2019 (6:30PM - 9:00PM)
Venue
HKSI Institute Training Centre
Language
Cantonese
Level
Introductory
Hours
SFC:5.00, PWMA:5.00
Fees
All Member: HK$1100
Staff of Corporate Member: HK$1100
Non-Member: HK$2200