資產管理基礎課程 單元三:資產管理規例 5小時精讀班)

資產管理基礎課程 單元三:資產管理規例 5小時精讀班)

概要

“資產管理基礎課程”是由四個單元組成的入門課程,旨在為金融服務從業人員提供所需的知識和技能,幫助他們加入資產管理行業。

“資產管理基礎課程”是有四個單,單元三:資產管理規例概述與資產管理部門相關的具體監管要求。

為切合不同學習者的需求,單元三共有兩個版本:5小時精讀班和10小時基礎班。

成功修畢“資產管理基礎課程”的四個單元後,學員將獲發證書。

內容

1. 監管框架
2. 後台合規
3. 資產管理條例
4. 不當行為
5. 測驗

對象

這5小時精讀班主要對象為那些在證券行業有豐富經驗、並希望能進一步對資產管理行業有深化認識的人而設,方能讓他們符合申請《證券及期貨條例》下第9類牌照的要求。若對證券行業沒有經驗或經驗有限的從業員,應報讀10小時的基礎班。

先導計劃 - 專業培訓資助計劃

本課程乃提升資產財富管理業人才培訓先導計劃 - 專業培訓資助計劃所涵蓋之合資格課程/ 研討會 /會議。

合資格之金融服務業現職從業員只要圓滿修畢本計劃所涵蓋課程 / 研討會 /會議 的一個單元,便可於本計劃的三年期內申請發還80%學費或上限7,000元(以數額較少者為準)。

申請人可申請多於一個課程 / 研討會 /會議的資助。

申請表必須於完成課程 / 研討會 /會議 當日起計4個月內連同所需文件一併送交香港證券及投資學會。詳情請參考先導計劃網站

導師/講者

蔡奮威
Samuel is the Audit Head of Financial Services - asset management, securities and banking - of Crowe Horwath (HK) CPA Limited, a member firm of Crowe Horwath International ranked among the top 10 global accounting networks, with 750 offices in 130 countries around the world.

Samuel started his audit career with Pricewaterhouse Coopers in 1991 with specialisation in Financial Services since 1994. He joined Deloitte Sydney as Account Director in 1997. He was then relocated to Deloitte Hong Kong and co-found the Financial Services Advisory Group providing non-assurance services to financial services clients. He was the leading audit partner of the investment management practice when he retired from the Deloitte Hong Kong partnership in 2006 to further his specialization in asset management industry, especially alternative investments.

Samuel then joined J. P. Morgan Asset Management (JPMAM) as the Chief Administrative Officer (Asia ex. Japan) overseeing Risk Management, Finance and Tax for the region. In addition, he was the Director of China International Fund Management Co., Ltd, the Shanghai joint-venture fund management company of Shanghai International Trust Corporation Ltd. and JPMAM.

Samuel co-founded Elmore Capital Limited (ECL) which was majority owned by an Asian family office, and launched a multi-asset class hedge fund, comprising Asian equities, Asian currencies and commodities in 2009. Samuel was the shareholder, board director, Chief Executive Officer (CEO) and SFC Type 4 & 9 Responsible Officer (RO) of ECL. Samuel brought ECL to become Wolver Hill Group’s Hong Kong office which has then been rebranded to Wolver Hill Asset Management Asia Limited (WHAMAL) in 2014. As a core founding member of the Hong Kong office, Samuel restructured ECL and built WHAMAL from a boutique start-up to a reputable fund platform. At the time of his departure in 2017, WHAMAL was supporting fund managers with the aggregate Assets-Under Management (AUM) of over USD1 billion.
Alex LEUNG
Mr. Leung has more than 16 years’ experience in asset management operations covering middle to back office functions, compliance, cooperate accounting and office administration. He is currently the Head of Operations at Discovery Bay Capital Management Limited, a hedge fund firm running an equity long/short China focus strategy fund. Prior to that, he was at Harmony Advisors Limited, an asset management firm running hedge fund and private banking platforms with AUM over USD1billion, where he was Head of Fund Operations. Mr. Leung was at Wolver Hill Asset Management Asia Limited (Formerly known as Elmore Capital Limited) from 2011 to 2015, a firm providing hedge fund platform and consulting services, as Head of Operations. He was an Operations Controller for fund of hedge funds at SPARX International Hong Kong Limited from 2006 to 2010. He started his career at Search Alternative Investment Limited, a family office based in Hong Kong, and J.P.Morgans (Boston, US) in the operations areas from 2001 to 2006.

Mr. Leung received a Bachelor of Science in Finance from Bentley College (Boston, US) in 1998 and a Master of Science in Finance from Suffolk University (Boston, US) in 2001.
陳梓倫
Felix started his career as an auditor at CCIF CPA Limited in Hong Kong. From there he moved into corporate consultancy for Alliance Financial Intelligence Limited and participated in Pre-IPO projects for clients based in the PRC.

He was then appointed Corporate Controller of CT Electronics Group to facilitate for the reverse takeover process of the company by a listed company on the Toronto Stock Exchange. After the completion of the said transaction, Felix moved onto managing the project division of a company listed on the Hong Kong Stock Exchange.

Felix then took a break from the corporate scene and started his own education business with partners in Shenzhen, China. The business was subsequently sold to partners and Felix returned to Hong Kong to take up the position of Associate Manager at the HKMA.

Since then Felix has worked at Grandtop International Capital Limited specializing in Internal Control for listed companies. Felix holds a double degree in Law and Business Administration from the University of Hong Kong. Felix is an internal control and operational risk management consultant for listed companies as well as asset management companies. He specializes in implementing internal control and risk management systems, procedures and policies for companies and regulated entities.
黎一緯
Wilkie Lai has been in the Banking and Asset Management industry for around 20 years, spanning across various areas like risk management, operations, technology, client development, legal, and compliance. His latest venture involves a startup initiative in providing next generation A.I. (artificial intelligence) solutions and services to the financial industry.

Before that he was the Head of Compliance for Dragon Capital Group, a US$1.5 billion+ regional fund with a focus in the Indo-China markets. His mandates covered regulatory and investment compliance across multiple jurisdictions including Hong Kong, EU, UK, US and traditional offshore markets. In that capacity he was a member of the Group's Management and Compliance Committee.

Prior to Dragon Capital Group, he spent more than 7 years at TriBridge Investment Partners, a pan-Asian credit hedge fund, in various capacities including Chief Risk Officer and Managing Director. In his tenure he covered all non-trading functions including operations, client management, risk management, legal and compliance.

Wilkie also headed up different risk management functions for a number of financial institutions in Hong Kong. He was with Bank of China (Hong Kong) focusing on bank-wide market risk management functions, as well as Banca Intesa S.p.A. Hong Kong Branch focusing on overall risk management functions. Prior to his internal risk manager roles, Mr. Lai spent 6 years with Thomson Reuters, the global information company, in their Trade and Risk Management practice focusing on treasury and middle office advisory and solutions for financial institutions across Asia. He also worked for Andersen Consulting (now Accenture) in process re-engineering for financial institutions.

Wilkie is a lawyer qualified by the State of New South Wales, Australia. He read law at Chinese University of Hong Kong and Australia National University and holds a Juris Doctor degree. He further received a M.Sc. degree in Information System Management from Hong Kong University of Science and Technology, and a B.A. degree in Computer Science from the University of California.

詳情

活動編號
TPRCR18005302
日期及時間
2018年11月22日, 星期四 (6:30下午 - 9:00下午)
2018年11月29日, 星期四 (6:30下午 - 9:00下午)
地點
香港證券及投資學會培訓中心
語言
英文
級別
Introductory
課程時數
SFC:5.0, PWMA:5.0