概要

The Securities and Futures Commission’s (“SFC”) consultation conclusions (“Consultation Conclusions”) on the proposed Guidelines for Market Soundings (“Guidelines”) are now in force since 2 May 2025, meaning Licensed Corporations (“LCs”) or Registered Institutions (“RIs“) should have already reviewed and updated their internal policies, procedures and controls to ensure full compliance.

Where this has not yet been completed, a gap assessment must be conducted immediately to address any deficiencies in policies, procedures, and associated controls. Additionally, relevant staff including key personnel involved in market soundings must be trained on the updated requirements.

Looking ahead, firms should aim to schedule a follow-up review in Q4 2025 to assess the design and operating effectiveness of the implemented controls to ensure they are functioning as intended. Given the potential regulatory risks associated with non-compliance, firms must act promptly to close any gaps and plan proactively for the upcoming review to ensure the new regime is properly embedded in practice.

內容

This is a joint webinar with Private Wealth Management Association (PWMA), the key topics to be covered include:

• Key requirements and scope of application
• Implications for buy-side and sell-side firms
• How to implement the requirements, including key control enhancements required
• Industry insights and views of sound practice
• Remaining areas of uncertainty and how to navigate key risks and challenges
• Implementation timeline and immediate steps firms should be taking

對象

Senior management including MICs, ROs, Directors, Compliance Officers, Surveillance Officers and licensed individuals in the business/front-office involved in conducting market soundings from LCs or RIs (on both the buy-side and sell-side).

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/)。