Overview

This is Module 1 of the Asset Management Fundamentals (AMF) Programme, which consists of FOUR modules.  This programme is an induction course 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 1 provides an overview of the regulatory requirements that governs the securities and futures industry, including the asset management sector. This course covers key topics such as Hong Kong financial industry regulations, relevant laws, licensing and registration, business conduct and operations, participating in Hong Kong exchanges, corporate finance, and market misconduct. Participants will gain the knowledge and skills required to ensure compliance with regulatory requirements and maintain high standards of business conduct.

Other modules in this training series:

Module 2: Financial Markets

Module 3: Regulation of Asset Management

Module 4: Asset Management

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

Content

1. Regulatory overview of the Hong Kong financial industry
2. Principles of relevant Hong Kong law and the Companies Ordinance
3. Securities and Futures Ordinance (‘SFO’)
4. Licensing and registration, and subsidiary legislation
5. Business conduct and client relations
6. Business operations and practices
7. Participating in the Hong Kong exchanges
8. Corporate finance and SFC authorised products
9. Market misconduct and improper trading practices

Who should attend

This programme is primarily targeted to individuals who would like to gain a solid understanding of, or those who plan to enter, the Asset Management industry sector.