[In-person] Regulatory Sharing: Sustainable Development of Wealth Management Industry Amid New Product Innovations


The HKMA is supportive of the orderly development of new businesses in the wealth management industry. To facilitate the sustainable development of new products, such as virtual assets, green and sustainable investment products, regulatory guidance and clarity have been provided to accord investor protection. Additionally, various policies and measures, including Wealth Management Connect 2.0, have been implemented to support the industry capture regional opportunities. This session offers a valuable opportunity to gain insights into market development from a regulator’s perspective.

The event will be in hybrid format, for webinar, please click here to register!



• Introduction of the HKMA’s philosophy of supervision on wealth management
• Latest regulatory developments in relation to new products (e.g. virtual assets, green and sustainable investment products)
• Other policies and measures to facilitate industry development (e.g. Wealth Management Connect 2.0, etc)

Who should attend

This joint seminar with Treasury Markets Association (TMA) primarily targets private wealth managers, retail wealth managers, investment advisors, asset managers, ROs and MICs.

Financial Incentive Scheme of the WAM Pilot Programme

This course has already been approved as an eligible course of the Financial Incentive Scheme for Professional Training (“the Scheme”) under the Pilot Programme to Enhance Talent Training for the Asset and Wealth Management Sector (“the Pilot Programme”). The Scheme aims to enhance the competency and professionalism of in-service practitioners within the asset and wealth management sector and to assist other practitioners within the financial services industry in acquiring the knowledge and skills required for entering the sector. Eligible applicants will be subsidised 80% of the course fees by the HKSAR Government upon satisfactory completion of the courses approved by Hong Kong Securities and Investment Institute, subject to a ceiling of HK$15,000. Hong Kong Securities and Investment Institute is appointed as the implementation agent of the Pilot Programme. Regarding the details of eligible criteria and application procedures, please refer to the dedicated web-site of the Pilot Programme (https://www.wamtalent.org.hk/).

Speaker/Course Instructor

Alan AU
Mr Alan Au, JP is the Executive Director of the Banking Conduct Department of the Hong Kong Monetary Authority (HKMA). He is responsible for conduct supervision of banks in Hong Kong (covering consumer and investor protection, bank culture supervision, financial inclusion, and authorisation and licensing) as well as oversight of financial market infrastructures and payment systems.

Mr Au joined the HKMA in 2010 as Head of the Corporate Development Division. He also served as Administrative Assistant to the Chief Executive of the HKMA and worked as Division Head in the Banking Supervision Department, before taking up the present position in 2017.

Prior to joining the HKMA, Mr Au had served as an Administrative Officer in the HKSAR Government for over a decade, and had been posted to various offices and policy bureaux in the Government Secretariat including the Financial Secretary's Private Office and Financial Services and the Treasury Bureau.


Date & Time
Monday, 8 Jul 2024 (12:00PM - 1:00PM)
HKSI Institute, 17/F, Cambridge House, Taikoo Place, 979 King’s Road, Quarry Bay, Hong Kong
Relevant Subject
Type 1 - Dealing in securities
Type 4 - Advising on securities
Type 9 - Asset management
Regulatory Compliance
SFC:1.00, PWMA:1.00