Certificate in Compliance & Risk Management for Private Wealth Management Professionals (June 2018)

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. Please see the leaflet for details.

Module 1 – Financial Laws and Regulations for Private Banking and Wealth Management
6 June 2018 (Wednesday), 7:00-10:00 pm
Speaker: Douglas Arner

Module 2 – Securities Law Compliance for Senior Management
7 June 2018 (Thursday), 7:00-10:00 pm
Speaker: Syren Johnstone

Module 3 – Conduct and Ethics for Private Bankers and Wealth Management Relationship Managers
13 June 2018 (Wednesday), 7:00-10:00 pm
Speaker: Say Goo

Module 4 – Risks and Legal and Regulatory Requirements for Private Bankers and Wealth Management Relationship Managers
19 June 2018 (Tuesday), 7:00-10:00 pm
Speaker: Anna Wong

Module 5 – Essentials for Private Banking and Wealth Management Compliance Managers
22 June 2018 (Friday), 7:00-10:00 pm
Speaker: Louise Chan

Module 6 – Risk Management for Private Banking and Wealth Management
27 June 2018 (Wednesday), 7:00-10:00 pm
Speaker: Charles Lam

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

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).

For inquiries, please contact Flora Leung at 3917-2941.