Back Office Fundamentals for Wealth & Asset Management Programme Module 4: Operational Requirements under the SFO

概要

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.

宗旨

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.

內容

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

對象

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.

導師/講者

李廣成

Mr Lee was the Head of Compliance of a financial institution and has held various senior positions in the legal and compliance department in financial services and securities firms.

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.

詳情

活動編號
TQRCR19000801
日期及時間
2019年9月27日,星期五 (06:30 下午 - 09:30 下午)
2019年9月30日,星期一 (06:30 下午 - 09:30 下午)
地點
香港證券及投資學會培訓中心
語言
粵語
課程時數
SFC:6.00, PWMA:6.00
費用