[Webinar] Recap on Client Assets Protection and Third-Party Deposits and Payments

概要

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

內容

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

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 Legal & 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 fellow of Institute of Chartered Accountants Australia and New Zealand, 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

TPRCR23010202

日期及時間

2023年9月21日, 星期四 (12:20下午 - 1:20下午)

地點

虛擬平台

相關主題

第1類 - 證券交易

第2類 - 期貨合約交易

第4類 - 就證券提供意見

第5類 - 就期貨合約提供意見

第8類 - 提供證券保證金融資

更多

語言

英文

課程時數

SFC:1.00, PWMA:1.00

Compliance, Legislative & Regulatory Standards

[Webinar] Recap on Client Assets Protection and Third-Party Deposits and Payments

概要

內容

對象

導師/講者

詳情