[Webinar] Avoiding Dubious Arrangements and Transactions

[Webinar] Avoiding Dubious Arrangements and Transactions

Lunch & Learn

概要

Asset managers should be wary of red flags for dubious private fund and discretionary account arrangements or transactions. They should focus on substance over form throughout the entire process of operation. This training highlights the expected standard of conduct of asset managers and their senior management when structuring private funds or discretionary accounts and effecting transactions.

宗旨

By the end of this training, participants will be able to know:
1. The key principles of General Code of Conduct (GP1 & GP2) for asset managers
2. The red flags for dubious private fund and discretionary account arrangements or transactions
3. How to balance out the scenario of structuring private funds or discretionary accounts without contradicting investor’s objectives

內容

- The principles under the General Code of Conduct that are applicable to asset managers
- Red flags for dubious private fund and discretionary account arrangements or transactions
- Expected standard of conduct of asset managers
- Proper procedures of asset managers to conduct transactions, namely, initial screening, detailed due diligence, senior management assessment and decision, and documentation
- Case studies

對象

Asset managers and their senior management who are managing private fund and discretionary account arrangements or transactions; compliance staff; auditors and wealth management staff.

導師/講者

詹博聞
Mr. Jim is the founder and Chief Investment Advisor of Tripod BoLe. He started his career in Europe and was instrumental in supporting major European institutions' initial investments into Chinese equities. He subsequently founded one of the first home-grown independent investment management firms in Greater China, focusing on alternative investment strategies. Over the years, Mr. Jim has established himself as one of the Asia pioneers in global hedge fund investments, allocating investments to over 100 funds in the region and globally. Daniel earned his Bachelor and Master degrees at the Chinese University of Hong Kong and SDA Bocconi in Milan, respectively, upon graduating from St. Joseph’s College in Hong Kong.

詳情

活動編號
TPRCR20011501
日期及時間
2020年8月26日, 星期三 (12:00下午 - 1:30下午)
地點
虛擬平台
語言
Trad. Chi / 廣東話
級別
Intermediate
課程時數
SFC:1.50, PWMA:1.50