Overview

This is Module 3 of the Asset Management Fundamentals (AMF) Programme, which consists of FOUR modules.  AMF 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.

This Module 3 provides an overview of specific regulatory requirements related to asset management sector.

Through this module, participants will gain a comprehensive understanding of the regulatory requirements related to the asset management sector. They will learn about the general regulatory framework, compliance requirements for back-office operations, specific asset management regulations, and the implications of misconduct in the industry.

Other modules in this training series:

Module 1: Overview of Legal and Regulatory Framework for Securities & Futures Industry (10 hour class)

Module 2: Financial Markets

Module 4: Asset Management

Upon completing all FOUR modules, participants will receive a Certificate of Completion for the AMF programme.

Content

1. General Regulatory Framework
2. Back-office Compliance
3. Asset Management Regulations
4. Misconduct
5. Quiz

Who should attend

This 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.