概要
“資產管理基礎課程”是由四個單元組成的入門課程，旨在為金融服務從業人員提供所需的知識和技能，幫助他們加入資產管理行業。
“資產管理基礎課程”是有四個單，單元三：資產管理規例概述與資產管理部門相關的具體監管要求。
為切合不同學習者的需求，單元三共有兩個版本：5小時精讀班和10小時基礎班。
成功修畢“資產管理基礎課程”的四個單元後，學員將獲發證書。
內容
1. 監管框架
2. 後台合規
3. 資產管理條例
4. 不當行為
5. 測驗
對象
這5小時精讀班主要對象為那些在證券行業有豐富經驗、並希望能進一步對資產管理行業有深化認識的人而設，方能讓他們符合申請《證券及期貨條例》下第9類牌照的要求。若對證券行業沒有經驗或經驗有限的從業員，應報讀10小時的基礎班。
導師/講者
Mr To is currently the Compliance Head of an international financial institution. He oversees the compliance function of various wealth management businesses including private banking, stock and futures brokerages, trusts and asset management. He provides advice, review and approach wealth management products and related sales materials. He also has several years of experience in the dealing of foreign exchange, money market and fixed-income securities in the Treasury Department of a local bank in Hong Kong.
He is an experienced trainer and has provided training to internal staff and professional institutions.e obtained his Master of Science (Banking) degree and LLM (International Business Stream) from the City University of Hong Kong. He also obtained the CFA, CPA(US) designations from the professional organisations
He is an experienced trainer and has provided training to internal staff and professional institutions.e obtained his Master of Science (Banking) degree and LLM (International Business Stream) from the City University of Hong Kong. He also obtained the CFA, CPA(US) designations from the professional organisations
Felix started his career as an auditor at CCIF CPA Limited in Hong Kong. From there he moved into corporate consultancy for Alliance Financial Intelligence Limited and participated in Pre-IPO projects for clients based in the PRC.
He was then appointed Corporate Controller of CT Electronics Group to facilitate for the reverse takeover process of the company by a listed company on the Toronto Stock Exchange. After the completion of the said transaction, Felix moved onto managing the project division of a company listed on the Hong Kong Stock Exchange.
Felix then took a break from the corporate scene and started his own education business with partners in Shenzhen, China. The business was subsequently sold to partners and Felix returned to Hong Kong to take up the position of Associate Manager at the HKMA.
Since then Felix has worked at Grandtop International Capital Limited specializing in Internal Control for listed companies. Felix holds a double degree in Law and Business Administration from the University of Hong Kong. Felix is an internal control and operational risk management consultant for listed companies as well as asset management companies. He specializes in implementing internal control and risk management systems, procedures and policies for companies and regulated entities.
He was then appointed Corporate Controller of CT Electronics Group to facilitate for the reverse takeover process of the company by a listed company on the Toronto Stock Exchange. After the completion of the said transaction, Felix moved onto managing the project division of a company listed on the Hong Kong Stock Exchange.
Felix then took a break from the corporate scene and started his own education business with partners in Shenzhen, China. The business was subsequently sold to partners and Felix returned to Hong Kong to take up the position of Associate Manager at the HKMA.
Since then Felix has worked at Grandtop International Capital Limited specializing in Internal Control for listed companies. Felix holds a double degree in Law and Business Administration from the University of Hong Kong. Felix is an internal control and operational risk management consultant for listed companies as well as asset management companies. He specializes in implementing internal control and risk management systems, procedures and policies for companies and regulated entities.