HKTA seminar: Key Insights for Type 13 Licensing and Post-Licensing Requirements

The Talk will cover:

1. Highlights of licensing requirements for Type 13 regulated activity and related transitional arrangements.
2. Post-Licensing Regulatory Requirements for Type 13 Licensees at a glance, specific requirements under schedule 11 to the revised Code of Conduct, changes to the Product Codes and recent hot topic - VA custody in the context of spot VA ETFs.
3. Brief introduction of the examination format, syllabuses and learning outcomes for the two licensing examination papers under the Type 13 licensing regime and the grandfathering training programme offered by HKSI Institute

Speakers:

Mr. Eric Ho, Director of Licensing, Intermediaries, SFC
Ms. Isabella Wong, Partner, Financial Services, Deacons
Mr. Bernard Ho, Director - Curriculum & Examinations, HKSI Institute