Update on Client Assets Protection and Third-party Deposits and Payments

Update on Client Assets Protection and Third-party Deposits and Payments

概要

This course aims to provide practitioners an overview of the new SFC requirements on client assets protection and third-party deposits and payments.

內容

1.New requirements on client assets protection (Circular issued by SFC in July 2019)
- Acknowledgement letter
- Client Securities Rules and Client Money Rules and their related implications
- Self-reporting of non-compliance with the Rules

2. AML update on the third-party deposits and payments issued by SFC in May 2019

對象

This course is mainly targeted to front line staff, in particularly who involved in securities dealing / advising and asset management activities. It is also applicable to middle office and compliance department practitioners working in SFC licensed corporations.

導師/講者

李廣成
Mr Lee was the Head of Compliance of a financial institution and has held various senior positions in the legal and compliance department in financial services and securities firms.

Mr Lee obtained his BCom/LLB from University of New South Wales and MBA from University of South Australia. He is a member of Institute of Chartered Accountants in Australia, member of the Hong Kong Institute of Certified Public Accountants, fellow of the Financial Services Institute of Australasia and senior fellow of the Hong Kong Securities and Investment Institute.

詳情

活動編號
TPRCR19010201
日期及時間
2019年11月27日, 星期三 (6:30下午 - 7:30下午)
地點
香港證券及投資學會培訓中心
語言
廣東話
級別
Intermediate
課程時數
SFC:1.00, PWMA:1.00