Compliance, Legislative & Regulatory Standards

[Webinar] Regulatory Requirements when Selling Complex and Virtual-Assets ("VA") Related Products

概要

The HKMA and SFC have jointly published guidelines and circulars on what is expect of institutions when selling Complex Products and VA-related products.

This one-hour course covers what these products are, and the relevant requirements as prescribed by the SFC.

宗旨

By the end of the course, the participants will be refreshed on the regulatory requirements in selling complex and VA-related products.

內容

- What are Complex Products?
- Client Suitability and Products Due Diligence
- Investor Characteristics requirements
- Risks and Selling Considerations with Complex Products
- SFC Requirements for Selling Complex Products
- SFC Requirements for Selling VA-related Products

對象

The course is targeted to licensed representatives who need to advise clients on securities and futures and the Compliance officers.

資產財富管理業先導計劃 - 專業培訓資助計劃

本課程已被審批為「提升資產財富管理業人才培訓先導計劃」(以下簡稱「資產財富管理業先導計劃」 其下之「專業培訓資助計劃」(以下簡稱「本計劃」)。本計劃旨在提升資產財富管理業在職從業員的專業能力水準及協助金融服務業內其他從業員學習所需的知識和技能,使他們能投身資產財富管理業。合資格之申請人按香港證券及投資學會之要求完成課程後將可獲香港特區政府資助80%學費,上限為HK$15,000。 香港證券及投資學會為資產財富管理業先導計劃之執行機構,有關申請要求之細則及手續,請參閱專為資產財富管理業先導計劃而設之網站 (https://www.wamtalent.org.hk/)。

導師/講者

Todd JAMES
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.

詳情

活動編號
TPRCR24018004
日期及時間
2024年7月31日, 星期三 (12:30下午 - 1:30下午)
地點
虛擬平台
相關主題
第4類 - 就證券提供意見
第5類 - 就期貨合約提供意見
誠信操守/合規
監管合規
語言
英文
課程時數
SFC:1.00, PWMA:1.00
費用
所有會員: HK$290
機構會員員工: HK$290
香港中資証券業協會(HKCSA): HK$405
非會員: HK$580