[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.
Note: This webinar is NOT part of the Certification Programme for Virtual Asset Professionals (CVAP) and includes no post-course assessment. CVAP participants who completed the Core Curriculum may enrol in the elective Regulatory Requirements for Selling Virtual Asset Products. See the course page for details.
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/)。
[重要通知]
[專業培訓資助計劃]申請截止日期: 隨著計劃將於2026年3月31日完成，計劃將有序停止接受申請。計劃將不會接受就於2025年12月31日後完成的課程之學費發還申請，並將於2026年1月31日後停止接受所有學費發還申請。申請人須遵循「申請人須知」中概述的申請要求，透過線上系統提交網上申請表及上載所需的證明文件，並將已簽妥的申請表列印本，連同香港身份證副本，於課程完成日期起計四個月內或於2026年1月31日或之前（以較早者為準）遞交至香港證券及投資學會辦事處。為免生疑問，凡於2025年10月1日至2025年12月31日期間（包括首尾兩天）完成之課程，其申請必須於2026年1月31日或之前遞交。逾期或不完整的申請將不予受理。
導師/講者
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.