HKUSPACE Finance and Compliance

香港大學專業進修學院
活動開始日期 :
02/05/2020
活動結束日期 :
23/05/2020
地址 :
香港大學專業進修學院
參加費用 (港元) :
2,500 per module / 7,500 per programme

活動詳情 :

This workshop aims to equip students with latest knowledge in compliance issues for professionals working in asset management companies and banking institutions. It focuses on satisfying the regulatory and compliance requirements as determined by the legal framework in Hong Kong as well as teaching state-of-the-art practices in managing key risks faced by bank and asset management companies.

Workshop Outline
Workshop 1: Financial Regulations and Compliance

1. Theoretical and applied aspects of the role of regulation and compliance in the financial services sector; Rationale for financial regulations and compliance; Type of regulation

2. Compliance principles; independence and conflicts of interest; resources and responsibilities; internal audit; cross border issues

3. Regulatory framework and process

4. Overview of regulation of Hong Kong financial industry

5. Supervision, controlled functions, customer due diligence

6. Scope of Securities and Futures Commission Ordinance (SFO); role and function of Securities and Futures Commission (SFC)

7. Regulation, licensing, registration and administration functions of SFC; Hong Kong Securities Institute (HKSI)

8. Hong Kong Exchange (HKEx)

9. Hong Kong Banking Ordinance and Hong Kong Monetary Authority (HKMA); role of HKMA in supervision of Hong Kong banking institutions

10. International banking standards and Basel capital accords

11. Principles of relevant banking laws and the Companies Ordinance

12. Market Misconduct; Market Misconduct Tribunal; improper trading practices, disclosure standards and compliance

13. Social responsibility and ethical issues

14. Anti-money laundering controls; terrorist financing; insider dealing & prevention of financial crime

15. Current issues of the Hong Kong financial regulations and compliance

Workshop 2: Compliance in Banking and Wealth Management

1. Regulation under Hong Kong Monetary Authority – Banking Ordinance

2. Key sections of Banking Ordinance

3. Supervisory Approach (Risk-based supervisory approach + Outsourcing)

4. Code of Conduct

5. Statutory Guideline – Internal Control (include stress-testing); Capital Adequacy; Credit Risk Management; Liquidity Risk Management

6. Guidance Note – Operational Risk Management; Interest Rate Management; Technology Risk Management (include supervision of e-banking)

7. Compliance requirements in trade finance and RMB business

8. Statutory Guideline – Securities and leveraged foreign exchange business

9. Know your customer (KYC) and customer due diligence (CDD) compliance

10. Anti-Money Laundering(AML) compliance requirement in banking and wealth management

11. The role of Financial Action Task Force (FATF), IMF, European Commission and UN in AML

12. Statutory Guideline- Corporate Governance of Locally Incorporated Authorised Institutions

13. Guidance note – Credit Card Business; Reputation Risk Management and Wealth Management

14. Foreign Account Tax Compliance Act (FATCA)

Workshop 3: Compliance in Asset Management

1. Regulatory requirements in asset management; SFC’s licensing and registration regime

2. Code of Conduct for Persons Licensed by or Registered with the SFC

3. Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the SFC

4. Personal Data (Privacy) Ordinance; Money laundering and terrorist financing in asset management

5. Back-Office Compliance

6. SWIFT over Bloomberg

7. Fund Manager Code of Conduct

8. Authorization of Collective Investment Schemes (“CISs”); Investment requirements for CISs; Ongoing requirements for CISs

9. SFC’s special requirements for asset management industry

10. SFC’s supervisory regime for trustees; custodians and investment companies

11. Authorization, investment and ongoing requirements for MPF products

12. Market misconduct and related offences under the Securities and Futures Ordinance

13. Case studies on malpractices and improper trading

* “Statement of Attendance” will be issued to students who have achieved at least 70% attendance for the workshop

Approximately 4 months
Lecture Hours: 15 hours per module
Medium of Instruction: English


主辦機構名稱 :
香港大學專業進修學院
電話 :
3762 6262
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