Revised FMCC Independent Valuation Review - Practical Aspects and Challenges for Fund Managers

Revised FMCC Independent Valuation Review - Practical Aspects and Challenges for Fund Managers

研討會

概要

The revised Fund Manager Code of Conduct (“FMCC”) which came into effect on 17 November 2018 requires that a Fund Manager to perform a periodic review (at least annually) of their valuation policies, procedures and processes. This review should be performed by a competent and functionally- independent third party.

As fund managers’ fees are typically charged based on the fund’s valued asset size, this requirement serves to mitigate any conflict of interest.

What should fund managers do to comply with this requirement?

宗旨

The objectives of this course is to give a brief introduction of the independent valuation process review requirements as required by the FMCC and the practical aspects and difficulties during the review process.

內容

This course will cover the following:
1. Brief introduction of the independent valuation process review requirements
2. Review process on different types of products and portfolio
3. Practical considerations of engaging 3rd party or internal resources for the review
4. Practical difficulties encountered during the review process

對象

Fund managers, asset managers and those interested in a review of its valuation policies, procedures and process

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

彭兆楷
Peter has more than 20 years of risk and assurance experience. He focuses on serving clients in the financial services industry, including fund managers, fund administrators and trustees, banks, securities firms, regulators and professional organisations.

He is now a Principal in Risk Advisory Practice of BDO in Hong Kong, managing internal control review, internal audit, corporate governance, risk management and other assurance projects for local, regional and international clients. Prior to joining BDO, he was the Head of Risk of a listed aircraft leasing company with operations in Asia, Europe and America. He also worked in a large international accounting and advisory firm as head of department. Peter is a frequent speaker on new developments in the financial service industry.

Peter is a Fellow of the Hong Kong Institute of Certified Public Accountants, a Fellow of Institute of Chartered Accountants in England and Wales and a certified FRM of Global Association of Risk Professionals (GARP).

詳情

活動編號
TSUAW20000201
日期及時間
2020年1月16日, 星期四 (12:20下午 - 1:20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:1.00, PWMA:1.00