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