Overview
The course aims to raise awareness of ethical pitfalls by highlighting regulatory expectations and examining case studies.
Participants will have the opportunity to explore past local and overseas cases relevant to private wealth management, enabling them to learn and stay alert when faced with ethical dilemmas at the workplace.
Content Highlight
• Ethics vs. compliance – What is the difference
• Avoid falling into cracks: Understand the importance of ethics and key regulatory expectations regarding sound business conduct
• Case studies – Lesson learned from ethical pitfalls in practice
• From dilemmas to decisions: Navigate difficult choices
Who Should Attend
Licensed individuals include the MIC, RO, compliance officers, risk managers, and practitioners in the finance or banking industry who are interested in this topic.
Instructor / Speaker
Elvis WONG
Skilled in Client Relationship Management, Private Wealth & Investment Advisory, Discretionary & Alternatives Portfolio Management and Asset Allocation of Capital Market.
CFA & FRM charter holder, Doctor of Finance candidate at Shanghai University of Finance and Economics.
Administrative Details
Type 4 - Advising on securities
Ethics / Compliance
Chinese Securities Association of Hong Kong (HKCSA): HK$810
HKSI Institute Staff: Free
Honorary Fellow Member: Free
Non-Member: HK$1,160
Staff of Corporate Member: HK$580