Courses

  • *FULL* Client KYC & Suitability – An Update and Review

    In March 2016, a number of important developments relating to the framework for professional investors in Hong Kong became effective. Intermediaries now need to comply with additional regulatory requirements with respect to professional investors.

    In addition, the SFC proposed new client agreement requirements under the Code of Conduct. These proposed changes could have implications on the contractual relationship vis-à-vis an intermediary and its clients. There is a transitional period until 9 June 2017 when the changes will become fully effective but intermediaries are expected to already start the process to comply.

    This course will provide an overview of the relevant updates to the Professional Investor regime and the new client agreement requirements, as well as the practical implications of the changes for financial institutions and companies.

    *Due to popular demand, this course is now FULL. To request re-run, please click on the “request re-run” box on the right. 

    12 Oct, 2016

    Courses
  • *FULL* Duties and Liabilities of Responsible Officers under the SFO

    All registered firms such as securities / futures companies, fund management firms, financial advisory companies and corporate finance firms will need to be licensed by the SFC to conduct regulated activities. Each licensed corporation requires 2 Responsible Officers (RO). How do you become an RO and what are the duties and liabilities for ROs?

    *Due to popular demand, this course is now FULL. Please contact us by email at registration@courses-seminars.com to be put on waiting list for this course. To request re-run, please click on the “request re-run” box on the right. 

    11 Oct, 2016

    Courses
  • *FULL* Introduction to Offshore Funds

    Many funds choose to be domiciled in an offshore jurisdiction. This course will examine different structures available for both hedge funds and private equity funds in the Cayman Islands and the British Virgin Islands. The following course will provide an overview of the latest developments, trends and regulatory updates in these popular offshore jurisdictions.

    03 Nov, 2017

    Courses
  • *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.

    25 Sep, 2017

    Courses
  • *FULL* Share Placements and Rights Issues

    Hong Kong as an international financial hub has various ways for companies to raise capital after listing. Share placements and rights issues have continued to be popular this year for listed companies as a cost-effective means to raise funds. Deciding which method is most suitable for your company is important. This course will examine advantages and key success factors of these methods.

    01 Dec, 2017

    Courses
  • *FULL*An Introduction to Initial Public Offerings on the Hong Kong Stock Exchange

    There have been a sleuth of IPOs on the Hong Kong Stock Exchange where companies are raising capital. Understanding the legal and regulatory requirements in order to achieve a successful listing is crucial. This course provides an overview and practical guidelines in relation to the legal and regulatory aspects of an IPO in Hong Kong.

    25 Aug, 2017

    Courses
  • An Introduction to Initial Public Offerings on the Hong Kong Stock Exchange

    There have been a sleuth of IPOs on the Hong Kong Stock Exchange where companies are raising capital. Understanding the legal and regulatory requirements in order to achieve a successful listing is crucial. This course provides an overview and practical guidelines in relation to the legal and regulatory aspects of an IPO in Hong Kong.

    25 Oct, 2017

    Courses
  • An Update on the Recent IRD Tax Audit on the Fund Management Industry

    In the past few years, the Inland Revenue Department (IRD) has embarked on the review of the fund management industry. Their work concentrated on the taxability of the offshore fund manager and whether the investment advisor in Hong Kong is properly remunerated.

    This course will provide a practical overview of how to handle a tax audit with special attention on the tax audit implications for offshore funds & fund managers. The speakers will share with participants their experience on how to handle those fund manager tax audits. Between the 2 speakers they have helped clients to resolve over 20 cases. Some of them did not involve any adjustment.

    20 Jan, 2017

    Courses
  • Anti-Money Laundering and Counter-Terrorist Financing: Best Practice and Compliance Issues

    Money laundering and terrorist financing (“ML/TF”) can present significant compliance, reputational and operational risks for corporations and have an economic impact on most businesses.  Regulators have been taking positive steps to combat ML/TF as well as identify deficiencies in the anti-money laundering and counter-terrorist financing systems and controls of the corporations.  This 3-hour course will provide an excellent view of the fundamentals of ML/TF, the relevant laws and regulations, the compliance issues as well as the best practices.

    11 Jul, 2017

    Courses
  • Anti-Money Laundering and Counter-Terrorist Financing: Best Practices and Compliance Issues

    Money laundering and terrorist financing (“ML/TF”) can present significant compliance, reputational and operational risks for corporations and have an economic impact on most businesses.  Regulators have been taking positive steps to combat ML/TF as well as identify deficiencies in the anti-money laundering and counter-terrorist financing systems and controls of the corporations.  This 2-hour course will provide an excellent view of the fundamentals of ML/TF, the relevant laws and regulations, the compliance issues as well as the best practices.

    28 Feb, 2018

    Courses