Certificate in Compliance & Risk Management for Private Wealth Management Professionals (October/November 2019)

Certificate in Compliance & Risk Management for Private Wealth Management Professionals

Module 1 Financial Laws and Regulations for Private Banking and Wealth Management
15 October 2019 (Tuesday), 7:00 – 10:00 pm
Speaker: Douglas Arner

Module 2 Risk Management for Private Banking and Wealth Management
18 October 2019 (Friday), 7:00 – 10:00 pm
Speaker: Simon Ng

Module 3 Risks and Legal and Regulatory Requirements for Private Bankers and Wealth Management Relationship Managers
29 October 2019 (Tuesday), 7:00 – 10:00 pm
Speaker: Anna Wong

Module 4 Securities Law Compliance for Senior Management
1 November 2019 (Friday), 7:00 – 10:00 pm
Speaker: Syren Johnstone

Module 5 Conduct and Ethics for Private Bankers and Wealth Management Relationship Managers
8 November 2019 (Friday), 7:00 – 10:00 pm
Speaker: Say Goo

Module 6 Essentials for Private Banking and Wealth Management Compliance Managers
12 November 2019 (Tuesday), 7:00 – 10:00 pm
Speaker: Louise Chan

Financial Reimbursement

The “Certificate in Compliance & Risk Management for Private Wealth Management Professionals” is one of the eligible courses/programmes under the financial incentive scheme of the Pilot Programme to Enhance Talent Training for the Asset & Wealth Management Sector (the WAM Pilot Programme).

In-service practitioners of the financial services industry will be eligible for the Scheme. They will be reimbursed 80% of the course fees, subject to a maximum of $7,000 (whichever is the lower) upon satisfactory completion of each module.

Each individual may apply for fee reimbursement for more than one course/seminar/module/programme, up to a ceiling of $7,000 per person over the three-year period of the Scheme.

For details, please refer to the Appendix of the leaflet and WAM Pilot Programme website at www.wamtalent.org.hk.

Leaflet

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

Venue: The University of Hong Kong, Pokfulam Road, Hong Kong

For enquiries: Flora Leung at fkleung@hku.hk / 3917 2941