Essentials of Virtual Asset Compliance

Overview

This eSeminar is a recorded session of the ‘Essentials of Virtual Asset Compliance’ webinar held on 19 August 2022.

In this eSeminar, you will learn about the current regulatory landscape surrounding virtual assets (VAs) in both local and international contexts. You will also gain insights on the core elements, along with the challenges and best practices of VA compliance.

Objective

By the end of the webinar, you will be able to:
1. State the VA regulations in place around the world
2. List the core elements of VA compliance
3. Describe the challenges and best practices when implementing VA compliance

Content

1. Introduction
2. Overview of Global and Local Regulatory Landscape
3. Core Elements of Virtual Asset Compliance
4. Challenges and Best Practice
5. Case Study

Who should attend

This course is primarily targeted at
• responsible officer, managers-in-charge, compliance officer, licenced individuals of SFC’s regulated activities especially RA 1, 4 and 9
• Virtual assets service provider (VASP) operators and VA managers

It is also applicable to in-house counsel, IT staff and senior management such as directors, CIOs and CEOs of financial institutions.

Speaker/Course Instructor

Elaine SUN

Ms Elaine Sun is a member of Advisory Council and Regulatory Affairs, Global Digital Finance. Former Head of Compliance, Huobi Tech, Huobi Group. Elaine has a proven track record for nearly two decades in financial industry, particularly in Strategic Leadership, establishing and building Legal and Compliance functions for new industry and asset class (e.g. virtual assets). She joined in virtual assets industry since end 2018, leaded Huobi Group's Compliance team to build compliance functions, licensing strategies, policy and procedures and compliance system. She previously served as Regional Compliance leader for State Street APAC global service, focused on private equity, hedge fund and other alternative investments clients, as well as China capital market and asset management. She is Registered Chief Compliance Officer of financial institutions, with Law degree received in China and MBA from The University of Hong Kong (HKU).

Details

Code

TEEEC22003701

Venue

ePlatform

Relevant Subject

Type 1 - Dealing in securities

Type 4 - Advising on securities

Type 7 - Providing automated trading services

Type 9 - Asset management

Regulatory Compliance

Language

English

Level

Hours

SFC:1.00, PWMA:1.00

Fees

All Member: HK$200

Staff of Corporate Member: HK$200

Non-Member: HK$400

eSeminar - CPT Bearing