HKUEMS :: Event Details

Certificate in Compliance & Risk Management for Private Wealth Management Professionals (June 2018)
posted by Faculty of Law for HKU and Public
Event Type: Continuing Professional Development Short Course
Event Nature: Law and Politics

Event Details

Certificate in Compliance & Risk Management for Private Wealth Management Professionals

This certificate program offers a basic but comprehensive coverage in compliance and risk management functions of the Private Wealth Management industry. Anyone who are interested to go into compliance and risk management area of private wealth management institution may take this as a basic guide.

The detailed Leaflet is available at www.AIIFL.com. If you are interested to attend, please return the application form by fax to 2549-8495 or by email to Flora Leung at fkleung@hku.hk.

Fee: HK$1,800 per module (20% Discount to PWMA corporate members, i.e. HK$1,440 per module)

Financial Reimbursement: In-service practitioners of the financial services industry will be eligible for the WAM Pilot Programme, please visit www.wamtalent.org.hk for details.

Participants who have successfully completed all six modules (i.e. 85% or above attendance of each module) will be awarded a Certificate in Compliance & Risk Management for Private Wealth Management Professionals. Participants are also welcome to take individual modules. For those who only attend individual modules, they will be issued a Certificate of Attendance for individual module (with 85% or above attendance of the module).

LanguageEnglish
Session 1Module 1 – Financial Laws and Regulations for Private Banking and Wealth Management
06/06/2018 19:00-22:00
at The University of Hong Kong, Pokfulam Road, Hong Kong
Descriptionshow details
Speaker: Douglas Arner more details are available at www.AIIFL.com.
Session 2Module 2 – Securities Law Compliance for Senior Management
07/06/2018 19:00-22:00
at The University of Hong Kong, Pokfulam Road, Hong Kong
Descriptionshow details
Speaker: Syren Johnstone more details are available at www.AIIFL.com
Session 3Module 3 – Conduct and Ethics for Private Bankers and Wealth Management Relationship Managers
13/06/2018 19:00-22:00
at The University of Hong Kong, Pokfulam Road, Hong Kong
Descriptionshow details
Speaker: Say Goo more details are available at www.AIIFL.com
Session 4Module 4 – Risks and Legal and Regulatory Requirements for Private Bankers and WM Relationship Mgrs
19/06/2018 19:00-22:00
at The University of Hong Kong, Pokfulam Road, Hong Kong
Descriptionshow details
Speaker: Anna Wong more details are available at www.AIIFL.com
Session 5Module 5 – Essentials for Private Banking and Wealth Management Compliance Managers
22/06/2018 19:00-22:00
at The University of Hong Kong, Pokfulam Road, Hong Kong
Descriptionshow details
Speaker: Louise Chan more details are available at www.AIIFL.com
Session 6Module 6 – Risk Management for Private Banking and Wealth Management
27/06/2018 19:00-22:00
at The University of Hong Kong, Pokfulam Road, Hong Kong
Descriptionshow details
Speaker: Charles Lam More details are available at www.AIIFL.com

Registration Instruction

Please return the application form to Flora Leung by fax at 2549-8495 or by email at fkleung@hku.hk.

Contact Information

Should you have any enquiries, please feel free to contact Flora Leung by email at fkleung@hku.hk or by phone at 3917 2941.