Compliance, Legislative & Regulatory Standards

[Webinar] An Update on the Sale of Debt Instruments with Loss-Absorption Features and Other Investment Products


This course aims to provide an update on the Hong Kong regulatory requirements when licensed or registered institutions sell debt instruments with loss-absorption features as well as other investment products.

During this one-hour course we will highlight the recent circulars issued by the SFC/HKMA which includes updated requirements and guidelines when selling investment products with loss-absorption features.


• Overview of the regulatory requirements when selling Complex investment products
• Review of the HKMA issued circular “Sale and Distribution of Debt Instruments with Loss-absorption Features and Related Products”, which includes updated requirements and guidelines when selling investment products with loss-absorption features
• Outline the requirements set out in the HKMA issued a circular “Frequently Asked Questions on Investor Protection Measures in respect of Sale of Investment Products”


The course is targeted to all Compliance professionals and licensed or registered individuals involved in the sale or distribution of investment products with loss-absorption features.


Mr James has over 20 years of international banking experience, which includes risk management, debt capital markets, derivatives trading and investments. He began his career as a derivative risk analyst with a Canadian Bank in Toronto before moving to London, focusing on debt capital markets and derivatives, working for several large international banks as Director of European Derivatives Marketing.

Following 8 years in the UK, he moved to Asia in 1991, working for a large international investment bank and later became the Head of Investment Advisory Group of their Private Bank in Hong Kong. He was the Head of Investment Services, Advisory and Discretionary for two boutique Swiss private banks and most recently he has worked as a consultant, lecturer and as a Responsible Officer for a Broker and Asset Management Company in Hong Kong.

Mr James obtained an Honors business degree from Wilfrid Laurier University, Waterloo Canada, and an MBA from the University of Toronto, Toronto Canada.


2024年3月18日, 星期一 (12:30下午 - 1:30下午)
第1類 - 證券交易
第4類 - 就證券提供意見
第9類 - 提供資產管理
SFC:1.00, PWMA:1.00