Certificate in Compliance & Risk Management for Private Wealth Management Professionals (Jan 2019)

Certificate in Compliance & Risk Management for Private Wealth Management Professionals

Module 1: Financial Laws and Regulations for Private Banking and Wealth Management
Speaker: Douglas Arner
11 January 2019 (Friday), 7 – 10 pm

Module 2: Risk Management for Private Banking and Wealth Management
Speaker: Charles Lam
15 January 2019 (Tuesday), 7 – 10 pm

Module 3: Securities Law Compliance for Senior Management
Speaker: Syren Johnstone
17 January 2019 (Thursday), 7 – 10 pm

Module 4: Risks and Legal and Regulatory Requirements for Private Bankers and Wealth Management Relationship Managers
Speaker: Anna Wong
22 January 2019 (Tuesday), 7 – 10 pm

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

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

Please download the leaflet HERE. If you are interested to attend, please return the application form by email to Flora Leung at fkleung@hku.hk or by fax at 2549-8495.

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 financial incentive scheme of the WAM Pilot Programme, please visit www.wamtalent.org.hk for more details.

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