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
Administrative Details
Thursday, 24 Oct 2019 (06:30 PM - 09:30 PM)
Tuesday, 29 Oct 2019 (06:30 PM - 09:30 PM)
Thursday, 31 Oct 2019 (06:30 PM - 09:30 PM)
Monday, 4 Nov 2019 (06:30 PM - 09:30 PM)