Courses

  • (Online Via Zoom) Succession & Conflict in the Family Enterprise

    One of the most difficult issues facing family businesses in Asia and around the world is succession planning. A suitable process for addressing succession planning is critical for family businesses that want to continue to thrive for generations to come, and to minimize destructive family conflicts. Conflict in a family firm is inevitable and it cannot be avoided, but it can be managed, and it is important to understand that there are different kinds of conflicts. Conflict is often emotional in nature and cannot be avoided by a purely structural approach. This course describes a step by step process that business owning families can follow to improve trust & communication, strengthen their governance, address succession, and create options for managing family firm conflicts.

    18 Dec, 2020

    Courses
  • (Online Via Zoom) Wellbeing Practices for Lawyers

    Martin Seligman Ph D. is a past President of the American Psychological Association and is the father of modern “positive psychology”. Today he is the Director of the Penn Positive Psychology Center.  His work has focused on the question of what leads to a good life. In 2002 he published the book “Authentic Happiness, Using the New Positive Psychology to Realize Your Potential for Lasting Fulfillment”. In this book he included a section addressing “Why are Lawyers so Unhappy?”. “Positive Psychology sees three principal causes of the demoralization among lawyers”. The first is pessimism, as in having a pessimistic explanatory style.  The second is low decision latitude (i.e. you believe you have a limited number of choices in your work) in high stress situations. The third: “To the extent that the job of lawyering now consists of more win-loss games, there is more negative emotion in the daily life of lawyers.”

    Seligman’s prescription for “Countering Lawyer Unhappiness” includes the following recommendation: “Every law firm should discover what the particular signature strengths of their associates are…. Exploiting these strengths will make the difference between a demoralized colleague and an energized, productive one. Reserve five hours of the work week for “signature strength time”, a nonroutine assignment that uses individual strengths in the service of the firm’s goals.”

    20 Nov, 2020

    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