Compliance, Legislative & Regulatory Standards

Asset Management Fundamentals Module 3: Regulation of Asset Management (5-hour intensive 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.

The Asset Management Fundamentals programme has four modules. Module 3: Regulation of Asset Management provides an overview of specific regulatory requirements related to asset management sector.

To address different learner’s needs, Module 3 has two versions: 5 hour intensive class and 10 hour foundation class.

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. General Regulatory Framework
2. Back-office Compliance
3. Asset Management Regulations
4. Misconduct
5. Quiz

Who Should Attend

This 5-hour module is primarily targeted to those who has extensive experience in securities industry but would like to gain a solid understanding of the Asset Management industry sector to enable them to apply for the Regulated activity Type 9 licence under the Securities and Futures Ordinance. Participants who have no or limited experience in securities industry should attend the 10 hour foundation class.

Instructor / Speaker

CHOI Fan Wai

Administrative Details

Code
TQRCR17005305
Date & Time
Monday, 26 Feb 2018 (06:30 PM - 09:00 PM)
Wednesday, 28 Feb 2018 (06:30 PM - 09:00 PM)
Venue
HKSI Institute Training Centre
Language
English
Hours
SFC:5.0, PWMA:5.0
Fees