[Webinar] Recap on Client Assets Protection and Third-Party Deposits and Payments
This course aims to provide practitioners an overview of the SFC requirements on client assets protection and third-party deposits and payments.
1. Requirements on client assets protection (Circular issued by SFC in July 2019) and enforcement cases
- Acknowledgement letter
- Client Securities Rules and Client Money Rules and their related implications
- Self-reporting of non-compliance with these Rules
2. AML update on the third-party deposits and payments issued by SFC in Sep 2021 and June 2023
Who should attend
This course is mainly targeted to front line staff, in particularly who involved in securities dealing / advising and asset management activities. It is also applicable to middle office and compliance department practitioners working in SFC licensed corporations.