Compliance, Legislative & Regulatory Standards

資產管理基礎課程 單元三:資產管理規例 (5小時精讀班)







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



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


Mr To is currently the Compliance Head of an international financial institution. He oversees the compliance function of various wealth management businesses including private banking, stock and futures brokerages, trusts and asset management. He provides advice, review and approach wealth management products and related sales materials. He also has several years of experience in the dealing of foreign exchange, money market and fixed-income securities in the Treasury Department of a local bank in Hong Kong.

He is an experienced trainer and has provided training to internal staff and professional institutions.e obtained his Master of Science (Banking) degree and LLM (International Business Stream) from the City University of Hong Kong. He also obtained the CFA, CPA(US) designations from the professional organisations
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.


2019年11月20日, 星期三 (6:30下午 - 9:00下午)
2019年11月22日, 星期五 (6:30下午 - 9:00下午)
第9類 - 提供資產管理
Trad. Chi / 廣東話
SFC:5.00, PWMA:5.00