CompliancePlus AML Half Day Workshop

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Struggling with AML requirements? Can’t keep up with the AML Guideline updates? Not sure how AML procedures have to be constructed practically to comply with the AML Guideline?

CompliancePlus Consulting Limited proudly presents our first and probably the first ever in Hong Kong, an INTERACTIVE AML Half Day Workshop tailored-made for compliance officers, Responsible Officers and the sales and marketing team members.

The following are the details of the event.
Date: 18th October 2019 (Friday)
Venue: CUHK Business School Town Centre
Address: Unit B, 1/F, Bank of America Tower 12 Harcourt Road, Central, Hong Kong
Time: 14:00 – 17:30
Seats Limit: 50
Fees: $1650

There will be a presentation on the latest updates of the AML Guideline, following up with situational analysis and small group discussion on case studies to enable all our participants to know the key concepts thoroughly and can apply them when handling AML related matters.

The Compliance Training will be conducted in English with training materials provided. You may contact us at +852-3487 9298 or email us at [email protected] for any enquiries. 
 

RSVP before you miss out the chance!

Revised FMCC Seminar

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Seminar on SFC REVISED Fund Manager Code of Conduct

DESCRIPTION

In Nov 2017, Hong Kong SFC released consultations conclusions on proposals to enhance asset management regulation and point-of-sale transparency. The SFC will implement the enhancements to the Fund Manager Code of Conduct (FMCC) with certain modifications and clarifications.

The revised FMCC will become effective 12 months after it is gazetted and the amendments to the Code of Conduct will become effective nine months following gazettal that the effective date will be Nov 2018.

The purpose of this Seminar is to brief the industry about the impact of this Revised Fund Manager Code of Conduct with suggestions and recommendations on steps and new and additional compliance measures to take to ensure ongoing compliance and what preparation can be done at this stage prior to the commencement date of Nov 2018.

This Seminar will be conducted in ENGLISH. Certificate of Attendance will be issued. CompliancePlus is of the view that the Seminar can fulfill SFC CPT requirements upon your compliance clearance but you can also check with your compliance prior to signing up of the Seminar.

DATE AND TIME

Fri 20 April 2018

4:30 PM – 6:00 PM HKT

LOCATION

23/F, Euro Trade Centre

21-23 Des Voeux Rd Central, Central, Hong Kong

Purchase Ticket

3-hour Training Program on Hong Kong Retail Funds Authorizations and related compliance requirements

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A well-structured 3-hour training program on retail funds authorization and ongoing compliance requirements in Hong Kong including practical applications of relevant regulatory requirements, pitfalls to avoid and case studies on compliance issues to facilitate discussions and promote understanding of the regulatory framework.

This training program is highly recommended for compliance officers, compliance personnel, sales and marketing or products specialists in fund management companies or financial institutions who want to gain more understanding of Hong Kong retail funds authorization and compliance requirements.

Course Highlights:-

  • Basic regulatory requirements for SFC-authorized funds
  • Duties and responsibilities of the fund manager of an SFC-authorized fund
  • How to obtain SFC authorization of a fund
  • Ongoing compliance obligations of an SFC-authorized fund
  • Key elements of an effective corporate compliance program for SFC-authorized funds
  • Marketing of funds and selling practices
  • Compliance of an SFC-authorized fund with SFC’s Advertising Guidelines
  • Case studies on compliance with SFC’s fund regulations

Speaker Profile:

Ms. Peggy Yang, CFA, MBA

Ms. Yang currently conducts training and provides consultancy services on fund-related issues.  She has accumulated over 10 years of regulatory experience in Hong Kong, in particular the authorization and on-going monitoring of SFC-authorized funds.  Prior to this, Ms. Yang has worked as an equity analyst in Hong Kong and Canada, and subsequently an investment manager in Hong Kong.

Date: 6 November 2014 (Thursday)

Time: 2:30 p.m. – 5:30 p.m.

Fees: HK$1,800;          Discounted fees: HK$1,400 for CompliancePlus clients

Venue: Joint Professional Centre, G/F, The Centre, 99 Queen’s Road Central, Hong Kong

Language: the training will be conducted in English with bilingual presentation materials in simplified Chinese and real time translation services in Mandarin during Q&A session

Certificate of attendance will be issued by CompliancePlus to attendees upon request. Please note that although CompliancePlus is NOT an accredited CPT provider, this training may be counted as a relevant CPT course subject to internal compliance approval of attendee’s organization.

Deadline for filig BRMQ, Account Disclosure Document, Audited Financial Statements and Audit Questionnaire for financial year ending 31 December 2013

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Filing of the Business Risk Management Questionnaire, Account Disclosure Document, Audited Financial Statements and Audit Questionnaire for financial year ending 31 December 2013 is due on or before 30 April 2014

Please find related questionnaire in SFC website below:-

http://www.sfc.hk/web/EN/forms/intermediaries/business-and-risk-management-questionnaire.html

http://www.sfc.hk/web/EN/forms/intermediaries/audit-questionnaire.html

http://www.sfc.hk/web/EN/forms/intermediaries/account-disclosure-document.html