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December 2019

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2
Dec
18:30 - 21:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
Update on Insider Dealing
Language:
Cantonese
SFC:3.00 PWMA:3.00
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2
Dec
18:30 - 21:00
2 Lessons
Public
Compliance, Legislative & Regulatory Standards
Regulation of Securities Trading
Language:
Cantonese
SFC:5.00 PWMA:5.00
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2
Dec
18:30 - 20:30
2 Lessons
Public
Compliance, Legislative & Regulatory Standards
Fulfilling Suitability Obligations
Language:
Cantonese
SFC:4.00 PWMA:4.00
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3
Dec
18:30 - 20:30
1 Lesson
Public
(Specific) Financial Products & Associated Risk Management
Digital Assets - Beyond Bitcoin
Language:
Cantonese
SFC:2.00 PWMA:2.00
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3
Dec
18:30 - 21:00
2 Lessons
Public
Compliance, Legislative & Regulatory Standards
Duties and Liabilities of Responsible Officers
Language:
Cantonese
SFC:5.00 PWMA:5.00
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4
Dec
16:30 - 17:30
1 Lesson
New
Public
Compliance, Legislative & Regulatory Standards
Update on Remote Account Opening and the Guidelines on Online Distribution and Advisory Platform
Language:
Cantonese
SFC:1.00 PWMA:1.00
New
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5
Dec
12:20 - 13:20
1 Lesson
New
Seminar/Luncheon
Risk Management Series
From the Server Room to the Boardroom – Are You Properly Managing Your Company’s Cyber Risks?
Language:
English
SFC:1.00 PWMA:1.00
New Seminar
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5
Dec
18:30 - 21:00
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
Regulatory Framework of Money Laundering/Terrorist Financing
Language:
Cantonese
SFC:2.50 PWMA:2.50
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6
Dec
18:30 - 20:30
1 Lesson
New
Public
(Compliance) Risk Mngt & Control Strategy
Preventing Financial Crime
Language:
Cantonese
SFC:2.00 PWMA:2.00
New
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6
Dec
18:30 - 21:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
Investor Relations and Transparency Rules for Hong Kong Listed Companies 2019
Language:
Cantonese
SFC:3.00 PWMA:3.00
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9
Dec
18:30 - 21:00
2 Lessons
Public
Compliance, Legislative & Regulatory Standards
SFO Refresher Course - IPO Sponsors in Hong Kong
Language:
English
SFC:5.00 PWMA:5.00
All Member:
HK$1350
Staff of Corporate Member:
HK$1350
Non-Member:
HK$2700
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9
Dec
18:30 - 21:00
2 Lessons
Public
Compliance, Legislative & Regulatory Standards
Duties and Liabilities of Responsible Officers
Language:
English
SFC:5.00 PWMA:5.00
All Member:
HK$1350
Staff of Corporate Member:
HK$1350
Non-Member:
HK$2700
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10
Dec
12:30 - 14:00
1 Lesson
New
Public
(Compliance) Risk Mngt & Control Strategy
Data Management and Data Protection
Language:
English
SFC:1.50 PWMA:1.50
All Member:
HK$330
Staff of Corporate Member:
HK$330
Non-Member:
HK$660
New Lunch & Learn
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10
Dec
18:30 - 20:30
1 Lesson
New
Public
Compliance, Legislative & Regulatory Standards
Overview of the New Regulatory Framework Under Insurance Ordinance
Language:
Cantonese
SFC:2.00 PWMA:2.00
All Member:
HK$440
Staff of Corporate Member:
HK$440
Non-Member:
HK$880
New
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11
Dec
18:30 - 21:00
1 Lesson
Public
Foreign Exchange
Fundamentals of Foreign Exchange
Language:
Cantonese
SFC:2.50 PWMA:2.50
All Member:
HK$550
Staff of Corporate Member:
HK$550
Non-Member:
HK$1100
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12
Dec
17:30 - 19:00
1 Lesson
Members Event
Annual General Meeting
22nd Annual General Meeting
Language:
English
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13
Dec
12:30 - 14:00
1 Lesson
New
Seminar/Luncheon
Regulatory Update Series
Regulatory Developments in 2019 and Trends in 2020
Language:
English
SFC:1.50 PWMA:1.50
All Member:
HK$375
Staff of Corporate Member:
HK$375
Non-Member:
HK$750
New Seminar
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APPLY ONLINE
13
Dec
18:30 - 20:30
1 Lesson
Public
(Specific) Financial Products & Associated Risk Management
Blockchain Basics
Language:
Cantonese
SFC:2.00 PWMA:2.00
All Member:
HK$440
Staff of Corporate Member:
HK$440
Non-Member:
HK$880
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APPLY ONLINE
16
Dec
12:00 - 14:00
1 Lesson
New
Public
Asset Management
Asset Management Industry: The Year 2019 and beyond
Language:
English
SFC:2.00 PWMA:2.00
All Member:
HK$540
Staff of Corporate Member:
HK$540
Non-Member:
HK$1080
New Lunch & Learn
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16
Dec
18:30 - 21:30
1 Lesson
Public
(Specific) Financial Products & Associated Risk Management
The Roadmap of Fintech and Big Data in the Next Five to Ten Years
Language:
Cantonese
SFC:3.00 PWMA:3.00
All Member:
HK$810
Staff of Corporate Member:
HK$810
Non-Member:
HK$1620
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APPLY ONLINE
16
Dec
18:30 - 21:00
2 Lessons
Public
Compliance, Legislative & Regulatory Standards
Overview of Legal and Regulatory Framework for Securities and Futures Industry (5 hour Intensive Class)
Language:
English
SFC:5.00 PWMA:5.00 IA:5.00
All Member:
HK$1100
Staff of Corporate Member:
HK$1100
Non-Member:
HK$2200
Student Member (UHKSI):
HK$550
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APPLY ONLINE
17
Dec
18:30 - 21:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
Regulatory Insight – Power of Investigation and Prosecution of the SFC
Language:
Cantonese
SFC:3.00 PWMA:3.00
All Member:
HK$810
Staff of Corporate Member:
HK$810
Non-Member:
HK$1620
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APPLY ONLINE
17
Dec
18:30 - 20:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
Account Opening Documentation and Procedures
Language:
Cantonese
SFC:2.00 PWMA:2.00
All Member:
HK$440
Staff of Corporate Member:
HK$440
Non-Member:
HK$880
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APPLY ONLINE
18
Dec
18:30 - 21:30
1 Lesson
New
Public
Corporate Finance
Enhancing IPO Due Diligence Process and Avoiding Potential Red Flags
Language:
Cantonese
SFC:3.00 PWMA:3.00
All Member:
HK$810
Staff of Corporate Member:
HK$810
Non-Member:
HK$1620
New
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APPLY ONLINE
19
Dec
12:20 - 13:20
1 Lesson
New
Seminar/Luncheon
Regulatory Update Series
Dealing with Dawn Raids by Government Authorities
Language:
English
SFC:1.00 PWMA:1.00
All Member:
HK$250
Staff of Corporate Member:
HK$250
Non-Member:
HK$500
New Seminar
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APPLY ONLINE
20
Dec
12:20 - 13:20
1 Lesson
New
Seminar/Luncheon
Asset and Wealth Management Series
Impact of the New Economic Substance Law on Offshore Asset Management
Language:
English
SFC:1.00 PWMA:1.00
All Member:
HK$250
Staff of Corporate Member:
HK$250
Non-Member:
HK$500
New Seminar
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APPLY ONLINE
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