Learning and Sharing Session on a Private Bank Case Study on 25 April 2018


In April, PWMA organized a sharing session with Ms. Anna Wong, Professor of Practice in Finance at the University of Hong Kong and Mr. Eugene Goyne, Executive Director in Ernest and Young’s Financial Services Practice. The speakers  provided  analysis of a case study involving a private bank and gave the background of the Securities and Futures Commission’s allegation of breaches and the Securities and Futures Appeals Tribunal’s (SFAT’s) discussions on the case. They also addressed lessons learnt around ensuring a structured process is in place to safeguard suitability compliance.

 

The session was well received by members.