Category: Training Course

The 2nd re-run of “Navigating Climate-related Risks Requirements for Fund Managers” webinar co-organised by aiM Group and the Hong Kong Securities and Investment Institute (“HKSI Institute”) was successfully held on November 13, 2025.

During the webinar, Mr. Kevin Yung, Director of Optima Partners, analyzed the Securities and Futures Commission (SFC)’s climate risk management requirements for fund managers. He also provided interpretations of the relevant SFC circulars and the Fund Manager Code of Conduct (FMCC) requirements spanning governance, investment management, risk assessment and disclosure frameworks by using practical case demonstrations of materiality assessment approaches.

The engaging Q&A session featured further discussions between Mr. Samuel Choi, the HKSI Institute Individual Membership Committee Member, and the founder of aiM Group, and Kevin on practical compliance implementation challenges, where they shared valuable observations and insights drawn from their industry experiences.

[Photo: Samuel Choi (right), Founder of aiM Group and the HKSI Institute Individual Membership Committee Member, with Kevin Yung (left), Director of Optima Partners]

Looking ahead, we will continue focusing on asset management and collaborate with the HKSI Institute to develop more courses, and sharing more insights and practical experiences with the industry.

The 11th re-run of the FRR Course, under the collaboration of the aiM Group and the Hong Kong Securities and Investment Institute (“HKSI Institute”), is now available for enrolment. The course will be held on November 26 and 28.

 

This FRR Course will be jointly delivered by four instructors, featuring Leo Wong, Cyrus Fong, Evon Chow, and Kevin Yung, who will provide participants with a comprehensive overview of the FRR.

 

The FRR Course will focus on the core regulatory requirements of the Securities and Futures Commission’s FRR, exploring key topics through extensive practical case studies and interactive exercises. These topics include: an overview of the regulatory regime, risks addressed by FRR, share capital and liquid capital requirements, the computation basis, notification and submission requirements, an overview of forms in FRR returns, a case study on FRR computations, and practical issues regarding capital utilisation and FRR compliance.

 

To those who are interested in revising the basic and understanding selected areas of FRR, particularly for type 1, 4 and 9 regulated activities, through sharing and interactive exercises in two 3-hour sessions, we look forward to having your participation there.

 

Date: 26 & 28 November 2025 (Wed & Fri) 6:30 PM – 9:30 PM
Venue: HKSI Institute, 17/F, Cambridge House, Taikoo Place, 979 King’s Road, Quarry Bay, Hong Kong
Language: Cantonese (supplemented by English materials)

 

Limited seats are available, secure your spot & enroll now! Register Now:

https://www.hksi.org/en/development/activities/1014566-in-person-mastering-financial-resources-rules-frr-with-practical-skills/

The 10th re-run of the FRR Course, under the collaboration of the aiM Group and  the Hong Kong Securities and Investment Institute, was successfully delivered on September 17  and 18.

 

[Course Highlights]

In this FRR Course, we were pleased to welcome Evon Chow and Kevin Yung as the new instructors. They joined Leo Wong and Cyrus Fong in delivering a comprehensive curriculum on the FRR.

 

The FRR Course focused on the core regulatory requirements of the Securities and Futures Commission (“SFC”)’s Financial Resources Rules, exploring key topics through extensive practical case studies and interactive exercises. These topics included: an overview of the regulatory regime, risks addressed by FRR, share capital and liquid capital requirements, the computation basis, notification and submission requirements, an overview of forms in FRR returns, a case study on FRR computations, and practical issues regarding capital utilisation and FRR compliance.

 

Leveraging their extensive industry experience,  the instructors illustrated how to apply regulatory texts in practice. Attendees raised challenges from their daily work, which the instructors addressed by walking through concrete examples to clarify the rationale and practical steps for compliance.

 

Looking ahead, aiM Group will continue focusing on hot topics of asset management, and conducting more courses to share more insights and practical experiences with the industry.

[The instructor team (L – R): Evon, Kevin, Leo, Cyrus]

The “Introduction of SFC Licensing Regime for Fund Managers” webinar co-organised by aiM Group and the HKSI Institute was successfully held on September 15, 2025.

 

During the session, Kevin Yung (Director of Optima Partners) provided a broad while comprehensive overview of the Securities and Futures Commission (SFC) Type 9 (Asset Management) licence requirements. Kevin also shared some practical examples when implementing SFC requirements in various aspects, including licence types, substantial shareholders eligibility, criteria for Responsible Officers, roles of Directors and Managers-in-Charge, capital requirements, as well as specific considerations applicable to certain types of fund managers. Kevin further highlighted common regulatory pitfalls and offered some actionable advice on licensing  applications.

 

The engaging Q&A session was moderated by Samuel Choi, Founder of aiM Group, and Senior Fellow and Individual Membership Committee Member of the HKSI Institute. Kevin addressed the questions raised by the participants by sharing observations and insights drawn from his  consulting experiences.

[Photo: Samuel Choi (right), Founder of aiM Group, and Senior Fellow and Individual Membership Committee Member of the HKSI Institute, with Kevin Yung (left), Director of Optima Partners]

 

Looking ahead, aiM Group will continue focusing on hot topics of asset management, and conducting more courses to share more insights and practical experiences with the industry.

On Thursday, April 10, aiM Group will collaborate with the Hong Kong Securities and Investment Institute (HKSI Institute) to present a webinar on Navigating Climate-related Risk Requirements for Fund Managers.

To those who are interested in Climate-related risks, for type 9 regulated activities, we look forward to having your participation there.

 

Course Details：

Speaker Instructor

Kevin YUNG
Kevin is the Director of Optima Partners, responsible for regulatory compliance consulting services to global fund managers. He had strong experience and understanding of regulatory requirements of fund managers (hedge funds, private equity funds, private credit funds, real estate funds) in relation to SFC, SEC (Registered Investment Advisors & Exempt Reporting Advisors), CFTC and MAS regulations.

Kevin joined from the Intermediaries Supervision Department of the Securities and Futures Commission (SFC), responsible for ongoing supervision and inspections of licensed corporations. Prior to that, Kevin worked in Asset Management Industry Group of PricewaterhouseCoopers (PwC).

Kevin is an active contributor to the asset management industry. Kevin was appointed as a member of HKICPA Securities Regulatory Advisory Panel, which is comprised of experienced industry practitioners.

He is a Certified Public Accountant (CPA), Chartered Financial Analyst (CFA) and Certified Anti-money Laundering Specialist (CAMS). He holds Bachelor of Business Administration in Professional Accountancy and Master of Laws (Compliance and Regulations) degrees.

Scan the QR code on the poster above or click here to register.

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