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Compliance, Legislative & Regulatory Standards

[Webinar] Mastering Financial Resources Rules (FRR) with Practical Skills

概要

This course offers a comprehensive overview of Financial Resources Rules (FRR) for SFC licensed corporations, equipping participants with practical knowledge for effective FRR compliance. Key topics covered include share capital, liquid capital requirements, computation basis, notifications, and forms. Engaging mini case studies and capital utilisation exploration enable participants to acquire the necessary skills to navigate FRR effectively within their organisations.

內容

1. Overview of FRR
2. Risks addressed by FRR
3. Share Capital and liquid capital requirements by FRR
4. Computation Basis of FRR
5. Notification and submission requirements
6. Overview of the Forms in FRR returns
7. Mini case study of FRR computations
8. Practical issues on capital utilisation and FRR compliance etc.

對象

Responsible officers, compliance officers, risk managers, legal professionals, investors and individuals working in the financial services industry.

導師/講者

趙龍生
Mr Raymond Chiu has extensive experience in auditing listed companies and financial services firms, including banks, SFC licensed corporations, and investment funds. He has successfully overseen audit and advisory engagements for various clients in the financial services industry, ranging from boutique fund managers to banking institutions. Raymond's clients include financial institutions listed on the Hong Kong Stock Exchange, such as Mainland Chinese city commercial banks, fintech companies, and lending institutions. He also serves SFC licensed corporations like securities brokerage firms and asset management companies, as well as Cayman Islands and Hong Kong domiciled funds.
張嘉裕
Dr Cheung is a practicing accountant in capital markets with focus on regulatory, corporate finance, compliance and corporate governance fields. He is specialised in providing assurance and advisory services to financial services firms and listed companies. His key clients comprise IPO applicants, HKEX listed companies, SFC licensed corporations, and Cayman Islands domiciled funds.

Dr Cheung has been invited speaker at numerous seminars and forums of business corporations, government departments and educational institutions. He holds Worldwide Recognised Tutor status at the University of London, United Kingdom. As a post-doctoral researcher, Dr. Cheung’s research interests include finance, law and education in the areas of regulatory affairs, educational development, and social pedagogy.

王銘灝
Leo Wong, a Certified Public Accountant (CPA) and Financial Risk Manager (FRM), brings a wealth of experience to his role as Vice President (COO) of aiM Group. He started his career at PricewaterhouseCoopers Hong Kong, focusing on auditing, risk management, and compliance in the Financial Industry. Prior to joining aiM Group, Leo served as Head of Compliance for an SFC-licensed securities broker and asset management firm. At aiM Group, he oversees different functions in Aim Capital Consortium Limited, an SFC-licensed asset management firm with licenses of Regulated Activities of Type 4 and 9, leveraging his diverse range of buy-side and sell-side experience.

詳情

活動編號
TPRCR23003001
日期及時間
2023年8月30日, 星期三 (6:30下午 - 9:30下午)
2023年8月31日, 星期四 (6:30下午 - 9:30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3類 - 槓桿式外匯交易
第4類 - 就證券提供意見
第5類 - 就期貨合約提供意見
更多
語言
Trad. Chi / 廣東話
課程時數
SFC:6.00, PWMA:6.00
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