The module will cover main regulatory requirements on key operations function of wealth and asset management and how to effectively and efficiently comply with those requirements.
To equip the participants with required knowledge and skills to enable them to work effectively in Back Office functions. The course is practical in nature as it will cover not only regulatory requirements but also some close to real life case studies.
1. Overview of back office functionality and MICs
2. Major Securities and Futures Rules
- Contract Notes, Statements of Account and Receipts Rules
- Financial Resources Rules
- Client Securities Rules
- Client Money Rules
- Accounts & Audit Rules
- Keeping of Records Rules
- Insurance Rules
3. Reporting of Non-Compliance
4. Licensing Requirements
5. Business Contingency Plan
6. Other Practical Operational Issues
7. Case Studies
This module is primarily targeted to those who would like to gain a solid understanding of and/or those who plan to enter into the operations function of the asset or wealth management industry sector.
Mr Lee obtained his BCom/LLB from University of New South Wales and MBA from University of South Australia. He is a member of Institute of Chartered Accountants in Australia, member of the Hong Kong Institute of Certified Public Accountants, fellow of the Financial Services Institute of Australasia and senior fellow of the Hong Kong Securities and Investment Institute.