概要

HKMA and SFC issued a joint circular (“Circular”) regarding the streamlined approach to suitability obligations for dealing with sophisticated professional investors (SPIs) last year. As a result of feedback and comments received from Members on this, PWMA subsequently worked with both Regulators on an industry-led FAQ to provide further clarification with the view to assist PWMA members in operationalising the SPI scheme.

內容

This joint webinar with Private Wealth Management Association (PWMA) will explore this new industry-led FAQ in more detail. Representatives from member firms will outline key aspects of the FAQ, talk about how they are currently applying the streamlined approach in their organizations, and discuss successful strategies, regulatory concerns, and challenges.

Panel Speakers of this moderated panel discussion:

1. Mr Tom Jenkins, Partner, Head of Financial Services Governance, Risk and Compliance Services, KPMG China

2. Mr Richard Mak, Head of Product & Business Management, Pictet Wealth Management

3. Ms Yolenda Yu, Head of Conduct & Regulatory Compliance, EFG Bank

對象

This joint webinar is targeted at senior management, MIC, RO, compliance officers, risk managers and family office professionals working in financial institutions, such as banks, private wealth and asset management firms, who are responsible for dealing with Sophisticated Professional Investors (SPIs).