This webinar will cover:
1. Introduction to the licensing regimes under the Anti-Money Laundering and Counter-Terrorist Financing Ordinance and the Securities and Futures Ordinance including discussion of key definitions
2. Regulatory requirements for virtual asset trading platform (“VATP”) operators
3. Overview of the VATP licensing application process and relevant licensing conditions
4. Provision of virtual asset trading services to retail investors and prohibited activities
5. Overview of VATPs’ obligations including as to: suitability, disclosure, handling client assets, insurance and compensation
6. AML and CTF obligations and other ongoing obligations
7. Market misconduct offences and SFC warnings
2. Regulatory requirements for virtual asset trading platform (“VATP”) operators
3. Overview of the VATP licensing application process and relevant licensing conditions
4. Provision of virtual asset trading services to retail investors and prohibited activities
5. Overview of VATPs’ obligations including as to: suitability, disclosure, handling client assets, insurance and compensation
6. AML and CTF obligations and other ongoing obligations
7. Market misconduct offences and SFC warnings
Course curriculum
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Video
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Presentation slides
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MC Quiz
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Evaluation form
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About this course
- 2 hours of video content
ABOUT THE INSTRUCTOR
Julia Charlton
Julia, a corporate finance lawyer, advises regulators, financial institutions and listed companies on the listing rules of both the Main Board of The Stock Exchange of Hong Kong Limited and GEM. She is experienced in the fields of securities law, capital markets, private equity, M&A, investment funds, restructuring and regulatory issues.
Important Information regarding availability of CPT points
- Please note that our training programmes are not provided by an approved continuous professional trading (“CPT”) provider and may only be counted as CPT subject to internal compliance approval of your organisation (where applicable). According to the Guidelines on Continuous Professional Training issued by the Hong Kong Securities and Futures Commission (“SFC”), only training programmes relevant to the regulated activities in which an individual engages count towards CPT. Therefore, individuals are advised to select topics that are related to their regulated activities and will enhance their professionalism to satisfy their CPT requirements.
- The copyrights of all materials in our training programmes are owned by us. You shall not distribute, reproduce, share, transfer, copy or paste any or part of the materials provided to any other third party without prior written consent from us. In case of any of breach of copyrights, we will take legal action against you that you agree to indemnify us for any loss or damages.
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- Our training programmes are for the exclusive use of authorised and/or paid users. We reserve all rights to take legal actions against any unauthorised or non-paying users or attendees for losses and damages and accordingly all the related certificates issued shall immediately be deemed null and void.
- Any provision of false, fraudulent or misleading information of attendance record may lead to cancellation of the completion certificate(s) issued and we reserve the right to notify any relevant regulator and law enforcement agency.