Regulatory Update Series

[Webinar] Proposed Climate-related Risks Requirements for Fund Managers

New Seminar


A consultation paper regarding the proposed requirements for fund managers to take climate-related risks into consideration in their investment and risk management processes and make appropriate disclosures was released by the Securities and Futures Commission (SFC) on 29 October 2020. The proposed requirements cover four key elements: governance, investment management, risk management and disclosure. Submissions in respect of the consultation paper are due by 15 January 2021.


By the end of this webinar, participants will be able to:

- understand the proposed requirements, their priorities and the preparatory work required to implement the changes.


1. The proposed SFC’s requirements
2. How fund managers should prepare for the requirements
3. How the professionals may assist the fund managers to comply with the proposed changes

Who should attend

The webinar is primarily targeted at fund managers, asset managers, in-house counsel & compliance, senior management such as Responsible officers, Managers-in-Charge, directors, CIOs, COOs, CEOs and financial institutions and investors who would like to have a better understanding of current issues in climate-related risks requirements.

Financial Incentive Scheme of the WAM Pilot Programme

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

Eligible in-service practitioners of the financial services industry could apply for a reimbursement up to 80% of the course / seminar fees, or a maximum of HK$10,000 per person throughout the period of 1 October 2016 to 31 March 2023 upon satisfactory completion.

Each individual may apply for reimbursement for more than one course / seminar subject to a maximum of HK$10,000 but each course / seminar can only be reimbursed once.

The duly signed application form together with the FIVE supporting documents must be submitted within FOUR months from the last day of the course / seminar attended. Please refer to the WAM Pilot Programme website for more details.

WAM Pilot Programme Special Requirements

If you plan to apply for reimbursement under the Financial Incentive Scheme (FIS), please ensure your device/computer has the camera feature or with webcam installed as you are required to turn on your camera throughout the webinar.

Speaker/Course Instructor

Charlotte HUI
Charlotte is a Partner of Ernst & Young Hong Kong and a member of the EY Asia Pacific Wealth and Asset Management Practice. She has over 19 years of experience in providing professional services to clients in financial service industry in Hong Kong and Canada. She specializes in private equity, venture capital and alternative asset space.

Charlotte is currently a practicing member of the Hong Kong Institute of Certified Public Accountants (HKICPA) and the Association of Chartered Certified Accountants (ACCA), and a member of other professional associations.
Gaven has extensive experience in work relating to the establishment and structuring of a diverse range of collective investment schemes including hedge funds, real estate funds, private equity arrangements, hybrid funds and other structured products. He also advises on contentious and non-contentious regulatory matters in relation to investment management activity. Having formerly worked as a litigator with two other international practices, Gaven is also able to advise investment managers and fund clients across a variety of contentious issues that arise in relation to fund operation, restructuring, and investment.
Judy LI
Ms Judy Li is currently working with Climate Change & Sustainability Services of Ernst & Young as Green Finance Leader in Greater China. She is also the board member of Green Finance Committee, the executive director of Lujiazui Green Finance Development Center, and expert of BRICS Business Council and China-UK Financial City. Judy has been leading her team to assist financial institutions and corporates in issuing their green bonds and green ABS. Judy and her team has successfully provided issuance assurance service to the first green financial bond in China, Shanghai Pudong Development Bank, and the first green financial bond issued by municipal bank, Bank of Qingdao. In addition, Judy has leading the team to complete issuance assurance services for over 70 green bonds and green ABS.


Date & Time
Friday, 8 Jan 2021 (12:20PM - 1:20PM)
Virtual Platform
New, Seminar
SFC:1.00, PWMA:1.00