*FULL* Risk Management & Compliance Concerns in the Asset Management Industry

*Please note this course will be conducted in Cantonese*

Strong growth in the Asset Management Industry, by either the AUM amount or the number of Type 9 license applicants, is observed in recent years. The growth in Asset Management business comes along with higher risk management and compliance requirements locally and internationally.

This course is intended to share the RM & Compliance trends, risks and measures of Asset Management.

Speakers

Speaking Opportunities

Detailed Information

  • Proposed FMCC updates
  • AML considerations
    • AML Risk Assessment for Asset Management
    • KYC for High-Net-Worth clients & Introducing Agents
    • Source of Funds and Third Party Payments
  • Investment Management
    • Investment allocation monitoring
    • Investment guideline compliance
    • Staff dealing & Market Abuse (e.g. Inside Information & Front Running)
  • Suitability Assessment & Product Due Diligence
    • Segregating PI assessment from suitability assessment
    • PDD for complex investment products, such as HY Bonds & Fund of Funds
    • Solicitation through On-line Marketing
  • Securities Lending and Repos Arrangement
    • Major Risk involved
    • Collateral valuation methodology & Haircut policy
    • Reinvestment Policy
    • Disclosure requirements

Registration Conditions

To view our registration conditions click HERE.