主頁 持續培訓

Compliance, Legislative & Regulatory Standards

[In-person] Mastering Financial Resources Rules (FRR) with Practical Skills

滿座

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

本課程適合那些持牌中介人的管理層、客戶經理、證券商董事及監察主任、財務管理人員等，需要申報或覆核財政資源申報表。

導師/講者

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.
Alex LEUNG
Mr Leung has been working in hedge fund operations throughout his career with over 20 years of experience covering the full spectrum of operations functions including compliance where he is responsible for SFC compliance and filings. He began his career in fund of funds operations working in a family office and Japan listed asset management firm. He then moved on to hedge fund operations working in a few hedge fund firms with different scale. Mr Leung was responsible for filing FRR at three of the assets management firms holding type 4 and 9 licenses during his 10 years of tenure.

詳情

活動編號
TPRCR24003001
日期及時間
2024年2月20日, 星期二 (6:30下午 - 9:30下午)
2024年2月21日, 星期三 (6:30下午 - 9:30下午)
地點
香港鰂魚涌英皇道979號太古坊康橋大廈17樓香港證券及投資學會
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
標籤
滿座
語言
Trad. Chi / 廣東話
課程時數
SFC:6.00, PWMA:6.00
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