Compliance, Legislative & Regulatory Standards
[Webinar] Update on Client Assets Protection and Third-party Deposits and Payments
This course aims to provide practitioners an overview of the new SFC requirements on client assets protection and third-party deposits and payments.
1.New requirements on client assets protection (Circular issued by SFC in July 2019)
- Acknowledgement letter
- Client Securities Rules and Client Money Rules and their related implications
- Self-reporting of non-compliance with the Rules
2. AML update on the third-party deposits and payments issued by SFC in May 2019
Who should attend
This course is mainly targeted to front line staff, in particularly who involved in securities dealing / advising and asset management activities. It is also applicable to middle office and compliance department practitioners working in SFC licensed corporations.
Please note: This webinar will be delivered via WebEx. To qualify for CPT/OPT hours, participants are required to attend the full webinar.
You may want to check if WebEx works on your device prior to enrolment, click HERE to test.