Compliance, Legislative & Regulatory Standards

[Webinar] Regulatory Requirements when Selling Complex and Virtual-Assets ("VA") Related Products

Overview

The HKMA and SFC have jointly published guidelines and circulars on what is expect of institutions when selling Complex Products and VA-related products.

This one-hour course covers what these products are, and the relevant requirements as prescribed by the SFC.

Objective

By the end of the course, the participants will be refreshed on the regulatory requirements in selling complex and VA-related products.

Content Highlight

- What are Complex Products?
- Client Suitability and Products Due Diligence
- Investor Characteristics requirements
- Risks and Selling Considerations with Complex Products
- SFC Requirements for Selling Complex Products
- SFC Requirements for Selling VA-related Products

Who Should Attend

The course is targeted to licensed representatives who need to advise clients on securities and futures and the Compliance officers.

Instructor / Speaker

Todd JAMES

Mr James has over 20 years of international banking experience, which includes risk management, debt capital markets, derivatives trading and investments. He began his career as a derivative risk analyst with a Canadian Bank in Toronto before moving to London, focusing on debt capital markets and derivatives, working for several large international banks as Director of European Derivatives Marketing.

Following 8 years in the UK, he moved to Asia in 1991, working for a large international investment bank and later became the Head of Investment Advisory Group of their Private Bank in Hong Kong. He was the Head of Investment Services, Advisory and Discretionary for two boutique Swiss private banks and most recently he has worked as a consultant, lecturer and as a Responsible Officer for a Broker and Asset Management Company in Hong Kong.

Mr James obtained an Honors business degree from Wilfrid Laurier University, Waterloo Canada, and an MBA from the University of Toronto, Toronto Canada.

Administrative Details

Code
TPRCR24018004
Date & Time
Wednesday, 31 Jul 2024 (12:30 PM - 01:30 PM)
Venue
Virtual Platform
Relevant Subject
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Ethics / Compliance
Regulatory Compliance
Language
English
Hours
SFC:1.00, PWMA:1.00
Fees
All Member: HKD290
Chinese Securities Association of Hong Kong (HKCSA): HKD405
Non-Member: HKD580
Staff of Corporate Member: HKD290