Certificate in Compliance & Risk Management for Private Wealth Management Professionals (Nov-Dec 2016)

Certificate in Compliance & Risk Management for Private Wealth Management Professionals

Module 1 – Financial Laws and Regulations for Private Banking and Wealth Management
Date: 23 November 2016 (Wednesday), 7:00-10:00 pm
Speaker: Douglas Arner

Module 2 – Essentials for Private Banking and Wealth Management Compliance Managers
Date: 29 November 2016 (Tuesday), 7:00-10:00 pm
Speaker: Louise Chan

Module 3 – Risks and Legal and Regulatory Requirements for Private Bankers and Wealth Management Relationship Managers
Date: 2 December 2016 (Friday), 7:00-10:00 pm
Speaker: Nancy Cheung

Module 4 – Compliance for Private Banking and Wealth Management Senior Management, Directors and Executive Officers (“EO”)
Date: 6 December 2016 (Tuesday), 7:00-10:00 pm
Speaker: Patricia Woo

Module 5 – Conduct and Ethics for Private Bankers and Wealth Management Relationship Managers
Date: 19 December 2016 (Monday), 7:00-10:00 pm
Speaker: Say Goo

Module 6 – Risk Management for Private Banking and Wealth Management
Date: 12 December 2016 (Monday), 7:00-10:00 pm
Speaker: Charles Lam

Fee per module: HK$1,800 (20% Discount to PWMA corporate members, i.e. HK$1,440 per module)
Cheque should be made payable to ‘The University of Hong Kong’ and sent to Flora Leung, Faculty of Law, The University of Hong Kong, 10/F Cheng Yu Tung Tower, Centennial Campus, Pokfulam Road, Hong Kong.

Please download the FLYER for more details about the Programme and the Registration Form.

Enquiries: please contact Flora Leung by phone at 3917 2941 or by email at fkleung@hku.hk