Amendments to the Professional Investor Regime
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.
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
It is primarily targeted to those who are interested to know and apply the amended PI Rules.
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.
2019年11月20日, 星期三 (6:30下午 - 8:30下午)
第1類 - 證券交易
第2類 - 期貨合約交易
第3類 - 槓桿式外匯交易
第4類 - 就證券提供意見
第5類 - 就期貨合約提供意見更多
Trad. Chi / 廣東話