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

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When:
November 6, 2014 @ 2:30 pm – 5:30 pm
2014-11-06T14:30:00+08:00
2014-11-06T17:30:00+08:00
Where:
Joint Professional Centre
The Center
99 Queen's Road Central, Central
Hong Kong
Cost:
HK$ 1,200 (for CompliancePlus clients)
Contact:
+852-3487 9098
Email
Seminar

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.