Compliance, Legislative & Regulatory Standards

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


The Asset Management Fundamentals Programme, which comprises 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 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. Wilkie’s vast experience includes being Head of Compliance for Dragon Capital Group, a US$1.5 billion+ AUM regional fund. Prior to that he was Chief Risk Officer and Managing Director at TriBridge Investment Partners, a pan-Asian US$350 million+ credit hedge fund. Wilkie also headed up risk management functions for a number of financial institutions including Bank of China (Hong Kong) as well as Banca Intesa S.p.A. Wilkie had previously held key roles at Thomson Reuters’s and Andersen Consulting (now Accenture). His latest venture involves a Legal/RegTech initiatives affiliated with the Hong Kong Science and Technology Park. Wilkie is a lawyer and a member of the Law Society of New South Wales Australia. He studied law at Chinese University of Hong Kong and Australia National University. 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.
Samuel CHOI
Samuel is the founder of aiM Group and currently leads aiM Group on business development and service quality across all business functions. Samuel is the founder and was the Head of Financial Services Practice of Crowe (HK) CPA Limited (“Crowe (HK)”) during 2017 to 2020. Prior to founding aiM Group and joining Crowe (HK), Samuel was the Chief Executive Officer since 2009 and co-founded Elmore Capital Limited (ECL) which managed a multi-asset class quantitative hedge fund. He brought ECL to become the Hong Kong office of Wolver Hill Group, namely Wolver Hill Asset Management Asia Limited (WHAMAL) in 2014. He co-built WHAMAL to a fund platform supporting fund managers with AUM of over USD1.2 billion at the time of his departure in 2017.

Before starting up ECL, Samuel was the Chief Administrative Officer (Asia ex. Japan) of J. P. Morgan Asset Management (JPMAM) overseeing the regional Risk Management, Finance and Tax. He also represented JPMAM as one of the board directors of China International Fund Management Co. Ltd., a Shanghai based joint venture. Samuel started his financial services specialization since his joining of Price Waterhouse Coopers. He retired from Deloitte Hong Kong audit partnership while he was the Investment Management Industry Audit Leader before joining JPMAM. Samuel is a Fellow Certified Public Accountant (Practising) of the Hong Kong Institute of Certified Public Accountants (HKICPA) and a fellow member of the Institute of Chartered Accountants in England and Wales (ICAEW), and he holds a Bachelor of Arts (Honorary) in Accountancy, Hong Kong Polytechnic University.
Debbie ZENG
Debbie has extensive experience in compliance, operations and accounting, in particular the field of asset management and securities brokerage. She is currently a senior compliance manager of a financial institution. Prior to that, she worked in a bank and responsible for middle-to-back office functions of the wealth management division. Debbie obtained her master’s degree from the City University of Hong Kong.
Henry YU
Over 20 years of Compliance and regulatory experience in both private and public sector including international investment banks and SFC licenced entities. Adjunct Associate Professor for LLM in a local university and experience in providing CPD compliance training.


Date & Time
Wednesday, 26 Jan 2022 (6:30PM - 9:00PM)
Friday, 28 Jan 2022 (6:30PM - 9:00PM)
Virtual Platform
Relevant Subject
Type 9 - Asset management
Regulatory Compliance
Trad. Chi / Cantonese
SFC:5.00, PWMA:5.00