[Webinar] Regulatory Trend and Opportunities for Asset Management Industry
概要
Complex new regulations, severe penalties for compliance failures, dealing with digital (virtual) assets and the proposed Wealth Management Connect operation across the Guangdong-Hong Kong-Macao Greater Bay Area (“GBA”) are some of the recent developments affecting the asset management industry, with significant impact on regulated firms' strategy and operations. This webinar will cover issues that asset managers should be aware of, the regulatory challenges they are facing and the new opportunities to consider.
宗旨
By the end of the webinar, participants will understand the current risks and opportunities in the asset management industry
內容
- SFC enforcement trends: dubious fund structures
- Regulation of digital (Virtual) assets, family offices and private equity
- Accountability
- AML/CTF
- Challenges and Opportunities in the Greater Bay Area
對象
The webinar is primarily targeted at fund managers, asset managers, in-house counsel & compliance, senior management such as Responsible officers, Managers-in-Charge, directors, CIOs, COOs, CEOs and financial institutions and investors who would like to have a better understanding of current issues in the asset management industry.
Financial Incentive Scheme of the WAM Pilot Programme
This is one of the eligible courses / seminars under the Financial Incentive Scheme (“The Scheme”) of the WAM Pilot Programme.
Eligible in-service practitioners of the financial services industry could apply for a reimbursement up to 80% of the course / seminar fees, or a maximum of HK$10,000 per person throughout the period of 1 October 2016 to 31 March 2023 upon satisfactory completion.
Each individual may apply for reimbursement for more than one course / seminar subject to a maximum of HK$10,000 but each course / seminar can only be reimbursed once.
The duly signed application form together with the FIVE supporting documents must be submitted within FOUR months from the last day of the course / seminar attended. Please refer to the WAM Pilot Programme website for more details.
WAM Pilot Programme Special Requirements
If you plan to apply for reimbursement under the Financial Incentive Scheme (FIS), please ensure your device/computer has the camera feature or with webcam installed as you are required to turn on your camera throughout the webinar.
導師/講者
She was previously Deputy General Counsel at the Hong Kong Monetary Authority and was in-house counsel at Credit Suisse. In addition, Jill has also worked in leading international law firms in Hong Kong. This combination of different legal roles allow her to provide constructive insights into the issues and challenges facing financial institutions, listed companies, their senior managers and professional advisers. Jill has extensive experience advising on banking and securities laws and rules affecting listed companies. She advises on both on contentious and non-contentious matters; making Howse Williams' regulatory practice able to advise clients on a wide variety of legal and regulatory issues.
She has hands-on practical experience in liaising with regulators, advising on regulatory compliance and implementing changes to internal practices, conducting internal investigations and advising on corporate governance. Jill has represented clients, both institutions and individuals, in numerous regulatory investigations and disciplinary inquiries.
Jill is one of the authors of "Securities and Futures Ordinance": Commentary and Annotations, published by Thomson Reuters (now in its 4th edition), and she speaks regularly at client events and industry conferences. She served on the Disciplinary Panel of the Hong Kong Institute of Certified Public Accountants for several years and is currently the Chairman of the British Chamber of Commerce's Financial Markets Committee in Hong Kong.