Overview of Regulatory Developments and Financial Resources Rules Updates for Asset Managers Essentials

Hong Kong’s asset management business has sustained continued growth in the past few years and the Securities and Futures Commission of Hong Kong (“SFC”) has therefore issued a number of rules and regulations to regulate and maintain an effective and progressive regulatory framework for the benefit of both the asset management industry and investing public. In this course, we will cover the latest regulatory updates which are related to SFC asset managers and/or SFC licensed authorised funds.

In addition, the SFC has proposed changes to the Securities and Futures (Financial Resources) Rules (“FRR rules”). The changes mainly relate to the recent market developments including the form of the over-the-counter derivatives market and miscellaneous technical updates. In this course we will cover (a) an overview of the recent regulatory developments and hot topics that may impact asset managers; (b) implications of key FRR rules and (c) the key proposed changes to the FRR rules and implications to asset managers.

Detailed Information

  • Overview of recent regulatory developments in Hong Kong and their impacts on asset managers
  • Hot topics such as online distribution platform, open-ended fund company structure, etc.
  • FRR and the general of principles of FRR computation
  • Common difficulties encountered by licensed corporations when compiling FRR
  • Consequences of breaches
  • Latest developments on the FRR consultation paper

Registration Conditions

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