[Webinar] Regulatory Sharing: Sustainable Development of Wealth Management Industry Amid New Product Innovations


The HKMA is supportive of the orderly development of new businesses in the wealth management industry. To facilitate the sustainable development of new products, such as virtual assets, green and sustainable investment products, regulatory guidance and clarity have been provided to accord investor protection. Additionally, various policies and measures, including Wealth Management Connect 2.0, have been implemented to support the industry capture regional opportunities. This session offers a valuable opportunity to gain insights into market development from a regulator’s perspective.

The event will be in hybrid format, for in-person, please click here to register!


• Introduction of the HKMA’s philosophy of supervision on wealth management
• Latest regulatory developments in relation to new products (e.g. virtual assets, green and sustainable investment products)
• Other policies and measures to facilitate industry development (e.g. Wealth Management Connect 2.0, etc)


This joint seminar with Treasury Markets Association (TMA) primarily targets private wealth managers, retail wealth managers, investment advisors, asset managers, ROs and MICs.

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/)。


Alan AU
Mr Alan Au, JP is the Executive Director of the Banking Conduct Department of the Hong Kong Monetary Authority (HKMA). He is responsible for conduct supervision of banks in Hong Kong (covering consumer and investor protection, bank culture supervision, financial inclusion, and authorisation and licensing) as well as oversight of financial market infrastructures and payment systems.

Mr Au joined the HKMA in 2010 as Head of the Corporate Development Division. He also served as Administrative Assistant to the Chief Executive of the HKMA and worked as Division Head in the Banking Supervision Department, before taking up the present position in 2017.

Prior to joining the HKMA, Mr Au had served as an Administrative Officer in the HKSAR Government for over a decade, and had been posted to various offices and policy bureaux in the Government Secretariat including the Financial Secretary's Private Office and Financial Services and the Treasury Bureau.


2024年7月8日, 星期一 (12:00下午 - 1:00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