Amendments to the Professional Investor Regime

Amendments to the Professional Investor Regime

概要

The Securities and Futures (Professional Investor) (Amendment) Rules 2018 (PI Rules) took effect on 13 July 2018 to standardise the rules for prescribing professional investors. The amendments in the PI Rules were made to improve operational efficiency and provide more flexibility without compromising investor protection.

This course provides a recap of the PI Rules amendments to the legislative and regulatory requirements and discuss the impact and application of the Rules.

內容

1. Background of the PI Rules
2. Key Amendments of the PI Rules
3. Impact of the Rules on Your Business
4. Applications of the Rules

對象

It is primarily targeted to those who are interested to know and apply the amended PI Rules.

導師/講者

游淑敏
Ms. Yau was a Senior Compliance Manager of a bank and has extensive experiences in compliance function of various financial institutions. She is experienced in delivering compliance related training. She was awarded the degrees of the Bachelor Degree of Arts in Accountancy and the Master of Laws in Corporate & Financial Law.

詳情

活動編號
TPRCR19007902
日期及時間
2019年7月8日, 星期一 (6:30下午 - 8:30下午)
地點
香港證券及投資學會培訓中心
語言
廣東話
級別
Introductory
課程時數
SFC:2.00, PWMA:2.00