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Changes to the Professional Investor Regime and Client Agreement Requirements: What you need to know

  • 02 Jun 2016
  • 12:30 PM - 2:00 PM
  • Hogan Lovells Boardroom, 11/F One Pacific Place, 88 Queensway, Admiralty
  • 0


The HKCCA Executive Committee is delighted to invite you to its next seminar hosted by Hogan Lovells.

Lunch Presentation

Food and drinks will be provided. 1 Law Society of Hong Kong CPD point has been applied for. New York and California Approved Jurisdiction policy may apply.

TOPIC: Amendments to the Professional Investors Regime, first proposed in May 2013, took effect on 25 March 2016.

In a related review, the Client Agreement Requirements were updated in December 2015, with all intermediaries expected to review and revise their client agreements immediately.

Join us to understand these latest developments including:

  • an overview of the New Professional Investors Regime,
  • the new principles-based assessment for Corporate Professional Investors,
  • the new clause for client agreements, with further definition of "financial product".


Mark Lin, Partner and Danny Leung, Counsel

Mark Lin is a seasoned litigator who specialises in in all kinds of commercial dispute resolution work, with a particular focus on disputes relating to the financial services sectors, including cross-border investigations and contentious regulatory work. He represents a number of global banks on headline disputes. He is currently involved in the SFC's high profile Market Misconduct Tribunal action against CITIC and its former directors.

Danny Leung is a litigation all-rounder specialising in financial services and regulatory work. He advises financial institutions on all types of contentious issues including mis-selling disputes and regulatory compliance and investigations. He sits on the Anti-Money Laundering Committee of the Law Society of Hong Kong.

VENUE:  Hogan Lovells Boardroom, 11/F One Pacific Place, 88 Queensway, Admiralty.
DATE:  Thursday 2 June 2016 
TIME:  Registration and lunch 12:30pm
Presentation 13:00 to 14:00

RSVP: Please register your attendance online no later than 27 May 2016. If you register but are then unable to attend, please email events@hkcca.net and tell us so that other members on any waitlist may attend. If you have any suggestions for topics or speakers for future HKCCA events, please let us know at events@hkcca.net.

Please note this event is exclusively for HKCCA members. If you are not an HKCCA member but you want to attend this presentation, you need to successfully apply for membership at www.hkcca.net and pay the membership fee before registering for the event. If you have any membership queries, please contact HKCCA Secretariat on events@hkcca.net or (852) 2516 7007.

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