Compliance, Legislative & Regulatory Standards

Asset Management Fundamentals Programme Module 1: Overview of Legal and Regulatory Framework for Securities & Futures Industry (15 hour class)

Overview

The Asset Management Fundamentals Programme, which comprises of FOUR modules, is an induction programme designed to equip the financial services practitioners with the required knowledge and skills to enable them to enter into the Asset Management industry.

Module 1: Overview of Legal and Regulatory Framework for Securities & Futures Industry provides an overview of the regulatory requirements that governs the securities and futures industry, including the asset management sector.

Upon successful completion of all FOUR modules of the Asset Management Fundamentals, the participant will be awarded the Certificate of Completion of this programme.

Content Highlight

1. Regulatory overview of the Hong Kong financial industry
2. Principles of relevant Hong Kong law and the Companies
Ordinance
3. Securities and Futures Ordinance (‘SFO’)
4. Licensing and registration, and subsidiary legislation
5. Business conduct and client relations
6. Business operations and practices
7. Participating in the Hong Kong exchanges
8. Corporate finance and SFC authorised products
9. Market misconduct and improper trading practices

Who Should Attend

This programme is primarily targeted to those who would like to gain a solid understanding of and/or those who plan to enter into the Asset Management industry sector.

Instructor / Speaker

Man YAU

Ms. Yau was a Senior Compliance Manager of a bank and has extensive experiences in compliance function of various financial institutions. She is experienced in delivering compliance related training. She was awarded the degrees of the Bachelor Degree of Arts in Accountancy and the Master of Laws in Corporate & Financial Law.

Administrative Details

Code
TQRCR17000502
Date & Time
Monday, 5 Feb 2018 (06:30 PM - 09:30 PM)
Tuesday, 6 Feb 2018 (06:30 PM - 09:30 PM)
Wednesday, 7 Feb 2018 (06:30 PM - 09:30 PM)
Thursday, 8 Feb 2018 (06:30 PM - 09:30 PM)
Monday, 12 Feb 2018 (06:30 PM - 09:30 PM)
Venue
HKSI Institute Training Centre
Relevant Subject
Type 9 - Asset management
Regulatory Compliance
Language
Trad. Chi / Cantonese
Hours
SFC:15.00, PWMA:15.00
Fees