[Webinar] Recap on Professional Investor Regime

Overview

The Securities and Futures (Professional Investor) (Amendment) Rules 2018 (PI Rules) took effect on 13 July 2018 to standardise the rules for prescribing professional investors. The amendments in the PI Rules were made to improve operational efficiency and provide more flexibility without compromising investor protection.

This course provides a recap of the PI Rules amendments to the legislative and regulatory requirements and discuss the impact and application of the Rules.

Content

1. Background of the PI Rules
2. Key Amendments of the PI Rules
3. Impact of the Rules on Your Business
4. Applications of the Rules

Who should attend

It is primarily targeted to those who are interested to know and apply the amended PI Rules.

Speaker/Course Instructor

Man YAU

Ms. Yau was a Senior Compliance Manager of a bank and has extensive experiences in compliance function of various financial institutions. She is experienced in delivering compliance related training. She was awarded the degrees of the Bachelor Degree of Arts in Accountancy and the Master of Laws in Corporate & Financial Law.

Details

Code

TPRCR21007901

Date & Time

Tuesday, 23 Nov 2021 (6:30PM - 8:30PM)

Venue

Virtual Platform

Relevant Subject

Type 1 - Dealing in securities

Type 2 - Dealing in futures contracts

Type 3 - Leveraged foreign exchange trading

Type 4 - Advising on securities

Type 5 - Advising on futures contracts

More

Language

Trad. Chi / Cantonese

Hours

SFC:2.00, PWMA:2.00