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

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


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.


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 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

Wilkie LAI
Wilkie Lai has been in the Banking and Asset Management industry for around 20 years, spanning across various areas like risk management, operations, technology, client development, legal, and compliance. His latest venture involves a startup initiative in providing next generation A.I. (artificial intelligence) solutions and services to the financial industry.

Before that he was the Head of Compliance for Dragon Capital Group, a US$1.5 billion+ regional fund with a focus in the Indo-China markets. His mandates covered regulatory and investment compliance across multiple jurisdictions including Hong Kong, EU, UK, US and traditional offshore markets. In that capacity he was a member of the Group's Management and Compliance Committee.

Prior to Dragon Capital Group, he spent more than 7 years at TriBridge Investment Partners, a pan-Asian credit hedge fund, in various capacities including Chief Risk Officer and Managing Director. In his tenure he covered all non-trading functions including operations, client management, risk management, legal and compliance.

Wilkie also headed up different risk management functions for a number of financial institutions in Hong Kong. He was with Bank of China (Hong Kong) focusing on bank-wide market risk management functions, as well as Banca Intesa S.p.A. Hong Kong Branch focusing on overall risk management functions. Prior to his internal risk manager roles, Mr. Lai spent 6 years with Thomson Reuters, the global information company, in their Trade and Risk Management practice focusing on treasury and middle office advisory and solutions for financial institutions across Asia. He also worked for Andersen Consulting (now Accenture) in process re-engineering for financial institutions.

Wilkie is a lawyer qualified by the State of New South Wales, Australia. He read law at Chinese University of Hong Kong and Australia National University and holds a Juris Doctor degree. He further received a M.Sc. degree in Information System Management from Hong Kong University of Science and Technology, and a B.A. degree in Computer Science from the University of California.
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


Date & Time
Wednesday, 24 Feb 2021 (6:30PM - 9:00PM)
Friday, 26 Feb 2021 (6:30PM - 9:00PM)
Virtual Platform
Trad. Chi / Cantonese
SFC:5.00, PWMA:5.00
Please choose the language