(Asset and Wealth Management Annual Regulatory Update 2018) Course 1 - Latest Regulatory Updates of the WAM Industry

(Asset and Wealth Management Annual Regulatory Update 2018) Course 1 - Latest Regulatory Updates of the WAM Industry

概要

Regulators from the Securities and Futures Commission will share the latest regulatory developments affecting the asset management industry.

Amendments to the Fund Manager Code of Conduct (FMCC) and SFC Code of Conduct

The gazetted changes to the FMCC and SFC Code of Conduct will become effective later in 2018.  These enhanced regulations, which are comparable to regulations in the international markets, will strengthen Hong Kong's position as a leading asset management centre.  Are you ready to implement the necessary operational and system changes to comply with the enhanced regulations?

Online Distribution and Advisory Platforms

Investors are increasingly buying investment products as well as managing their finances and investments online (including via robo-advisers). This new business model brings new opportunities as well as risks. The proposed guidelines focus on governance and controls, suitability requirements and additional protective measures for the sale of complex products on online platform.  How would this impact you?

內容

Topic 1 - Enhanced requirements in respect of asset management regulation and point-of-sale transparency, and further consultation on disclosure requirements applicable to discretionary accounts

Topic 2 - Online Distribution and Advisory Platform: Proposed guidelines

先導計劃 - 專業培訓資助計劃

此課程乃提升資產財富管理業人才培訓先導計劃 - 專業培訓資助計劃下之一個合資格課程。

本計劃的對象為金融服務業現職從業員,申請人只要在本計劃的三年期內圓滿修畢本計劃所選定課程/研討會的一個單元,便可獲發還學費的80% 或上限港幣7,000元 (以數額較少者為準) 。每人可申請發還多於一個或以上單元的資助。

申請人必須於完成課程當日起計4個月內遞交所需文件。

詳情請瀏覽網頁www.wamtalent.org.hk

導師/講者

陳端
Ms Grace Chan is a Director of the Investment Products Division of the Securities and Futures Commission. Ms Chan is mainly responsible for authorising and regulating retail investment products, including unit trusts and mutual funds, REITs, ETFs and ILAS. She also plays a key role in the Commission’s policy initiatives concerning the asset management industry, such as the introduction of the open-ended fund company structure and the recent review to enhance asset management regulation in Hong Kong. Ms Chan is currently a member of the Committee on Real Estate Investment Trusts and the Product Advisory Committee of the Commission. Ms Chan practised as a corporate finance lawyer in Hong Kong before joining the Commission, specialising in initial public offerings and M&A transactions.
姚燕萍
Ms Linda Yiu, Director of Intermediaries Supervision, Intermediaries at the Securities and Futures Commission, has a wide experience in both policy and operational aspects of supervising an array of market intermediaries in the securities and futures sectors. She plays a major role in the Commission’s policy initiatives concerning the suitability obligations and online distribution platforms.
林忠保
Mr Brian Lam is a Senior Manager of Investment Products of the Securities and Futures Commission. His work involves regulatory matters concerning SFC-authorized investment products, policy initiatives relating to asset management regulation and online fund distribution platforms, and investor education programmes. Mr Lam was in private legal practice prior to joining the Commission.
楊嘉寶
Ms Grace Yeung, Senior Manager of Intermediaries Supervision, Intermediaries at the Securities and Futures Commission, is mainly responsible for supervising a range of licensed corporations in the securities and futures sectors in Hong Kong. She is also involved in policy initiatives and local regulatory reforms relating to asset management regulation and online fund distribution platforms.

詳情

活動編號
TPPAM18000301
日期及時間
2018年2月5日, 星期一 (2:30下午 - 4:30下午)
地點
香港證券及投資學會培訓中心
語言
英文
級別
Advanced
課程時數
SFC:2.00, PWMA:2.00