Compliance, Legislative & Regulatory Standards

Regulatory Requirements for Selling Virtual Asset (“VA") Products

Overview

This course covers the regulatory requirements in selling virtual assets (VAs) and VA-related products prescribed by the SFC and the HKMA.

​Note: This course is an elective module in the Certification Programme for Virtual Asset Professionals (CVAP). Participants must complete TWO elective modules. If you have not enrolled in another elective, please refer to the 'Elective Modules' section on the programme page for a list of available options. The CVAP Core Curriculum must be enrolled BEFORE taking any elective module.

Objective

By completing this eCourse, you will be able to:

  • describe and identify VA products prescribed by the SFC;
  • describe the client suitability, product due diligence and investor characteristics requirements;
  • describe the risks and selling considerations with VA products;
  • describe the SFC and HKMA requirements for selling VA products

Content Highlight

1. What are VA products?
2. Client suitability and products due diligence
3. Investor characteristics requirements
4. Risks and selling considerations with VA products
5. SFC requirements for selling VA products
6. SFC and HKMA requirements for selling VA products

Who Should Attend

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

It is also designed for those pursuing the CVAP as an elective module.

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
TERCR25023201
Venue
ePlatform
Relevant Subject
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Regulatory Compliance
Language
English
Hours
SFC:1.00, PWMA:1.00
Fees
All Member: HK$300
Designated Organisation Member (View List): HK$420
Non-Member: HK$600
Staff of Corporate Member: HK$300
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