[Webinar] Recap on Client Assets Protection and Third-Party Deposits and Payments
This course aims to provide practitioners an overview of the SFC requirements on client assets protection and third-party deposits and payments.
1. Requirements on client assets protection (Circular issued by SFC in July 2019) and enforcement cases
- Acknowledgement letter
- Client Securities Rules and Client Money Rules and their related implications
- Self-reporting of non-compliance with these Rules
2. AML update on the third-party deposits and payments issued by SFC in Sep 2021 and June 2023
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.