Practices & Updates in Financial Planning



Institute of Financial Planners of Hong Kong

香港財務策劃師學會

Unite 2601, 26/F, Bank of East Asia Harbour View Centre

56 Gloucester Road, Wanchai, Hong Kong

香港灣仔告士打道56號東亞銀行港灣中心2601室

Tel 電話: 2982 7888 Fax 傳真: 2982 7777 Website 網址:

Continuing Education Programs

持續進修課程

Are you looking to continually upgrade yourself with the latest topical issues in financial planning?

IFPHK’s continuing education programs are designed to answer the needs of today’s financial planners. They address industry issues you face every day, propose solutions to overcome challenges and provide proven and practical solutions that you can implement immediately.

This comprehensive program includes lectures, integrated and comprehensive case studies and experience sharing. Come and join us to learn from the financial experts and industry celebrities and gain new insights for achieving success in the financial planning industry.

你是否希望與時並進、探討財務策劃領域中的熱門課題？

香港財務策劃師學會持續進修課程正正為滿足現今財務策劃專業的需求而設。課程將探討在日常執業過程中所面對的問題，就如何解決問題提供最佳的方案及成功的實務例子，讓你可即時實踐應用。

本課程由多位財務策劃專家及業界精英主講，包括理論教授，綜合個案分析及經驗分享。令您更深入了解財務策劃成功之路。

What you will gain

• Learn and practise different steps of the internationally-recognized financial planning process

• Update your knowledge with the latest technical and practice knowledge in financial planning

• Gain valuable tips in practice management that you can apply immediately

本課程助您：

• 學習及演練國際標準財務策劃流程的不同步驟

• 獲得財務策劃行業的最新技巧及執業知識

• 獲得的寶貴建議讓您可立即應用於工作中

|Program Date |

|課程日期 |

|10 Feb (Thu) |

|2月10日 (四) |

|01 Mar (Tue) |

|3月1日 (二) |

|06 Apr (Wed) |

|4月6日 (三) |

|04 & 06 May (Wed, Fri) |

|5月4及6日 |

|(三, 五) |

|Content 內容 |Updates in investment tools |

| |Investment portfolio management performance evaluations |

| |Matching investment strategies with life-stages |

| |Case studies |

| | |

| |投資工具最新資訊 |

| |投資組合管理及表現評估 |

| |配合不同生命週期的投資策略 |

| |個案研習 |

|Date 日期 |10 Feb 2011 (Thu) |

| |2011年2月10日 (四) |

|Time 時間 |6:30 PM - 8:30 PM (2.0 hours 小時) |

|Speaker 講者 |Jacky Chan CFPCM,CFA, FRM |

| |Mr. Jacky Chan has more than 13 years of experience with major international banks where he has been delivering investment advice |

| |and asset management services to ultra-high net worth individual. He has extensive exposure in financial planning and portfolio |

| |management for private clients. He has been conducting different training sessions and workshops in portfolio management, |

| |investment advisory and financial planning. Mr. Chan has practical skills and knowledge in delivering wealth management solutions |

| |with proven track record. |

| | |

| |陳寅龍, CFPCM, CFA, FRM |

| |陳先生於個人及私人銀行業擁有超過13年工作經驗，為高端客戶提供財務策劃及投資方案，在財富管理服務方面積累了相當豐富的經驗。陳先生曾教|

| |授不同培訓課程及工作坊，內容包括: 組合管理、投資建議及財務策劃。陳先生亦擁有豐富提供財富管理的實務技巧及知識。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |2.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |2.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |2.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:80/92/02 |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |2.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[M1043H222JC110210] |

| |

|Negotiation Skill for Financial Planning Professionals |

|專業財務策劃從業員的談判技能 |

|[Program Code 課程編號:RZ40] |

|Content 內容 |Understand the nature of negotiation; why negotiate and when? |

| |Learn how we should prepare for a negotiation strategically |

| |Identify two major types of negotiation: Win-Win and Win-Lose negotiation |

| |Know how we can formulate strategies to handle the Win-Win and Win-lose negotiation |

| |Case studies – Applying the appropriate tactics required to achieve our negotiation objectives by sharing the daily examples in |

| |Financial Planning Industry |

| | |

| |了解談判的性質、為何要及什麼時候需要談判? |

| |學習如何準備談判策略 |

| |認識兩大類型的談判 - 「雙贏談判」和「輪贏談判」 |

| |如何制定策略處理「雙贏談判」和「輪贏談判」 |

| |個案分析 – 以財務策劃上常見的例子作分析，並運用適當的策略實踐談判目標 |

|Date 日期 |16 & 17 Feb 2011 (Wed, Thu) |

| |2011年2月16及17日 (三, 四) |

|Time 時間 |6:30 PM - 9:30 PM (3.0 hours 小時 / Total共 6.0 hours 小時) |

|Speaker 講者 |Jessie Ho |

| |Ms. Jessie Ho is an Industrial and Organizational Psychologist and has provided public courses of Negotiation Skills for different|

| |organizations such as Manufacturing firms and Insurance/ financial services firms. Jessie also teaches Negotiation Skills, |

| |Introduction to Psychology, Training and Development and Human Resources Management at Hong Kong Polytechnic University – Hong |

| |Kong Community College (HKCC) since 2002. Jessie is a Doctoral (Ph.D) candidate at the School of Management at Macquarie |

| |University in Australia. In 2005, Jessie earned the Inspiring Teaching Award and Lively Teaching Award at HKCC and in 2006, she |

| |was elected as the best corporate trainer in Negotiation Skills at the Outstanding Corporate Trainer Election organized by Hong |

| |Kong Daily News. |

| | |

| |何靜思 |

| |何靜思小姐是工業及組織心理學家，她為製造業和保險/金融服務業等不同組織，提供談判技巧課程。何小姐自2002年開始，在香港理工大學-香港專|

| |上學院教授談判技巧、基礎心理學、培訓及發展和人力資源及管理。何小姐是在澳洲麥格里大學管理學院的博士研究生。何小姐於2005年在香港專上|

| |學院取得了Inspiring Teaching Award和Lively Teaching |

| |Award。她在2006年香港新報舉辦的優秀企業培訓師選舉中，獲選為最佳企業培訓師(談判技巧)。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |6.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |0.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |6.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:Not "applicable/ 不適用" |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |6.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[RZ403H300JE110216] |

| |

|ETF Analysis and Implementation in Portfolio Management |

|交易所買賣基金(ETF)的分析與實現投資組合管理 |

|[Program Code 課程編號:RZ57] |

|Content 內容 |Introduciton to ETF |

| |Market Development |

| |Analysis of different type of ETFs |

| |Benefits and Usage of ETF |

| |Portfolio construction uisng ETFs |

| |Can ETF be used to achieve absolute return |

| |Risk Management by using ETF |

| | |

| |交易所買賣基金(ETF)簡介 |

| |市場開發 |

| |分析不同類型的交易所買賣基金(ETF) |

| |交易所買賣基金(ETF)的好處和用法 |

| |交易所買賣基金(ETF)F的投資組合構建 |

| |交易所買賣基金(ETF)可否達至絕對回報 |

| |利用交易所買賣基金(ETF)的風險管理 |

|Date 日期 |22 Feb 2011 (Tue) |

| |2011年2月22日 (二) |

|Time 時間 |6:30 PM - 9:30 PM (3.0 hours 小時) |

|Speaker 講者 |Jacky Chan CFPCM,CFA, FRM |

| |Mr. Jacky Chan has more than 13 years of experience with major international banks where he has been delivering investment advice |

| |and asset management services to ultra-high net worth individual. He has extensive exposure in financial planning and portfolio |

| |management for private clients. He has been conducting different training sessions and workshops in portfolio management, |

| |investment advisory and financial planning. Mr. Chan has practical skills and knowledge in delivering wealth management solutions |

| |with proven track record. |

| | |

| |陳寅龍, CFPCM, CFA, FRM |

| |陳先生於個人及私人銀行業擁有超過13年工作經驗，為高端客戶提供財務策劃及投資方案，在財富管理服務方面積累了相當豐富的經驗。陳先生曾教|

| |授不同培訓課程及工作坊，內容包括: 組合管理、投資建議及財務策劃。陳先生亦擁有豐富提供財富管理的實務技巧及知識。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |3.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |0.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |3.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:Not "applicable/ 不適用" |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |3.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[RZ573H300JC110222] |

| |

|Stay Away from Professional Negligence while providing financial Advising |

|如何避免與財務策劃有關之專業疏忽 |

|[Program Code 課程編號:RZ39] |

|Content 內容 |Arise of professional duties of financial advisors and circumstances under which these duties can be breached |

| |Professional negligence in the incident of Lehman Brothers |

| |Precautions needed to adopt for financial advisors to prevent professional negligence |

| | |

| |認識與財務策劃相關之專業責任及了解在什麼情況下財務策劃從業員會構成專業疏忽 |

| |分析雷曼兄弟個案中的專業疏忽 |

| |如何避免在提供財務策劃建議時產生不必要的專業疏忽 |

|Date 日期 |28 Feb 2011 (Mon) |

| |2011年2月28日 (一) |

|Time 時間 |6:30 PM - 8:30 PM (2.0 hours 小時) |

|Speaker 講者 |Joe Chan, Barrister at Law |

| |Lawrence Lok QC SC Chambers |

| | |

| |陳偉彥 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |2.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |0.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |2.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:Not "applicable/ 不適用" |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |2.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[RZ393H200JA110228] |

| |

|Derivatives and Related Investment Vehicles |

|衍生工具與相關投資產品 |

|[Program Code 課程編號:M306] |

|Content 內容 |Basic concepts of Derivatives |

| |Market Development of Derivatives |

| |Types of Derivatives |

| |Futures Contract |

| |Options |

| |Trading Strategies |

| |Derivative Related Investment Vehicles |

| |- Covered Warrants |

| |- ELI/ELN |

| |- Accumulator/Decumulator |

| |- Callable Bull/Bear Contract |

|Date 日期 |01 Mar 2011 (Tue) |

| |2011年3月1日 (二) |

|Time 時間 |6:30 PM - 8:30 PM (2.0 hours 小時) |

|Speaker 講者 |Dr. Joseph Chan, Ph.D (Finance), MBA |

| |Dr. Joseph Chan started his career as a market analyst for clients in the mortgage lending industry in United States for six |

| |years. He was then director of a strategic financial consulting company providing financial and IT advices to various financial |

| |institutions in Hong Kong and China. Joseph also accumulates over five years of experience in teaching investment and financial |

| |planning programs in various tertiary education providers in Hong Kong. |

| | |

| |陳紹光博士, Ph.D (Finance), MBA |

| |陳紹光博士於美國有六年的投資分析經驗，專注於按揭借貸業務的分析。回港後與夥伴成立金融與資訊科技顧問服務公司，為本港與內地金融機構提|

| |供相關的服務，陳博士亦於本港不同大學教授財務策劃及投資課程。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |2.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |2.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |2.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:80/92/04 |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |2.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[M3063H220JO110301] |

| |

|Structured Finance Products |

|結構性金融產品 |

|[Program Code 課程編號:M307] |

|Content 內容 |Basic concepts of Structured Finance Products |

| |Market development of Structured Finance Products |

| |Types of Structured Products and their characteristics |

| |Role of Credit Enhancement in Structured Finance |

| | |

| |結構性金融產品的定義 |

| |結構性金融產品的最新發展 |

| |結構性金融產品的種類及其特徵 |

| |信貸提升機制在結構性金融產品中的作用 |

|Date 日期 |03 Mar 2011 (Thu) |

| |2011年3月3日 (四) |

|Time 時間 |6:30 PM - 9:30 PM (3.0 hours 小時) |

|Speaker 講者 |Ringo Yuen |

| |Mr. Yuen was the Deputy Head of Financial Institutions Department for ICBC (Asia). Prior to that, he was a Senior Vice President |

| |and Head of Relationship Management of Financial Institutions – North Asia for HSH NordBank AG. In addition, he was a Director of|

| |Financial Institution Greater China for National Australia Bank. Mr. Yuen has over 20 years of experience in marketing and |

| |relationship management within the banking industry. He has a strong proven record of successfully selling / cross-selling a |

| |variety of banking products to both high net worth clients as well as financial institution clients, generating high incremental |

| |revenue. During his engagements with Citibank and ABN AMRO, he originated a number of new product ideas that result in |

| |diversification of the revenue sources. His primary responsibilities include developing, implementing and executing comprehensive|

| |account plans and call programs for different clients to achieve budgeted growth in assets, liabilities and earnings. Mr. Yuen |

| |holds a Master of Science (Business Administration) and a Bachelor of Commerce from the University of British Columbia. |

| | |

| |阮志國 |

| |阮先生曾任職德國北方銀行香港分行金融機構北亞洲部高級副總裁及客戶關係主管。在此之前，阮先生任職澳洲銀行金融機構部主管。阮先生具備超|

| |過二十年有關銀行業的市場及關係管理方面的經驗。他能從銷售/交易買賣有關不同類別的銀行產品予客戶及金融機構中賺取高回報的收入。在過往 |

| |任職花旗銀行及荷蘭銀行期間，阮先生推出一系列新產品概念，從而擴大公司的收入來源。阮先生工作範疇包括發展、推行及執行完善的客戶聯絡計|

| |劃，從而改善資產、負債及收益方面的增長。阮先生持有加拿大英屬哥倫比亞大學工商管理碩士及商學學士。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |3.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |3.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |3.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:80/92/04 |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |3.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[M3073H330RG110303] |

| |

|Offshore Trusts and Its Application |

|離岸信託的認識與運用 |

|[Program Code 課程編號:RZ37] |

|Content 內容 |Onshore Trusts vs. Offshore Trusts |

| |Different kinds of Offshore Trusts |

| |Ownership vs. Control |

| |Asset Protection Device |

| |Cases suitable for Offshore Trusts |

| | |

| |境內信託與離岸信託 |

| |不同種類的離岸信託 |

| |擁有權與操控權 |

| |資產保護應用 |

| |離岸信託個案分享 |

|Date 日期 |07 Mar 2011 (Mon) |

| |2011年3月7日 (一) |

|Time 時間 |6:30 PM - 8:30 PM (2.0 hours 小時) |

|Speaker 講者 |Wendy Ip |

| |Ms. Wendy Ip has worked at two independent trust companies for over 8 years and in HSBC International Trustee Ltd for a short |

| |period of time. She has over 14 years of experience in the trust industry and in other financial disciplines and holds various |

| |professional qualifications. She is a full member of Society of Trust and Estate Practitioners and the Hong Kong Institute of |

| |Company Secretaries, speaks at Hong Kong Institute of Company Secretaries and Australia CPA about offshore-related matters. |

| | |

| |葉小姐 |

| |葉小姐在兩間獨立的信託公司任職超過8年，亦曾於滙豐國際信託有限公司工作。 她在信託及其他金融相關行業擁有超過 14年的經驗，並持有不同 |

| |的專業資格。 她是Society of Trust and Estate |

| |Practitioners及香港秘書公會的會員，不時為香港特許秘書公會及澳洲會計師講授相關離岸的範疇。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |2.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |0.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |2.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:Not "applicable/ 不適用" |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |2.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[RZ373H200WI110307] |

| |

|Understanding Economic Indicators and Their Implications on Financial Markets |

|經濟數據概覽及應用 |

|[Program Code 課程編號:M414] |

|Content 內容 |Introduction to Economic Indicators |

| |- Decode the common economic indicators. Why are they important? |

| |- Types of economic indicators |

| |(1) Leading indicators |

| |(2) Coincident indicators |

| |(3) Lagging indicators |

| |- Overview of the practical uses of economic indicators |

| | |

| |Economic Indicators and Their Effects on Markets |

| |- Understanding the behavior of the economy |

| |- Implication of changing economic indicators to different major markets |

| |Practical Communication Skill to Spice Up Conversation with Clients |

| |- Practical steps to spice up conversation with clients |

| |- Ways to open up the conversation with clients |

| |- Identify some thematic selling ideas |

| | |

| |認識環球各重要經濟指標 |

| |經濟數據分類 |

| |領先經濟指標 |

| |同步經濟指標 |

| |滯後經濟指標 |

| |如何有效運用環球經濟數據作投資決定 |

|Date 日期 |22 & 24 Mar 2011 (Tue, Thu) |

| |2011年3月22日及24日 (二, 四) |

|Time 時間 |6:30 PM - 9:30 PM (3.0 hours 小時 / Total 共 6.0 hours 小時) |

|Speaker 講者 |Chris Tse, CFPCM, CFA, FRM, PRM |

| |Chris has over 10 years experience in the financial planning industry and began his career on residential mortgage securitization |

| |operations. After coming back from further studies in United Kingdom, he has changed his career to retail wealth management |

| |business. He has been pioneering Sales Training for Investment Advisors (private bankers, retail bankers, independent financial |

| |advisors and insurance financial planners) covering both Greater China and Singapore region. He holds two master degrees in |

| |Finance. He is also actively involved in different activities for various professional bodies including IFPHK. |

| | |

| |謝汝康, CFPCM, CFA, FRM, PRM |

| |謝先生擁有十多年金融行業工作經驗。在事業發展初期，謝先生從事住宅房地產按揭之證券化營運安排及制定其市場運作守則。在英國深造歸來後，|

| |謝先生轉向零售財富管理業務發展。謝先生亦曾任銷售培訓師一職，策劃大中華及新加坡地區之分銷商機構(包括私人銀行、零售銀行、獨立理財顧 |

| |問及保險公司)的投資培訓工作。他持有兩個金融碩士學位。同時，他亦積極參與多個專業團體所舉辦的活動，包括香港財務策劃師學會。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |6.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |6.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |6.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:80/92/05 |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |6.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[M4143H330CT110322] |

| |

|How to Control Your Trades in a Logical Manner? |

|投資市場下的邏輯思維 |

|[Program Code 課程編號:RZ31] |

|Content 內容 |A logical trader's mindset |

| |Directional and Directionless Trading Strategies |

| |War Stories on how peak performance traders control the "inner game" |

| |There is no secret trading formulas, just a strive for consistency |

| | |

| |邏輯思維模式 |

| |方向性及無方向性投資策略 |

| |傑出表現投資者如何操控 ”心戰攻房” 的實戰分享 |

| |投資並無必勝秘笈策略只在乎如何掌握一致性 |

|Date 日期 |30 Mar 2011 (Wed) |

| |2011年3月30日 (三) |

|Time 時間 |6:30 PM - 9:30 PM (3.0 hours 小時) |

|Speaker 講者 |Edward C K Chin |

| |Mr. Chin has 20 years of professional experience in portfolio management, hedge funds and securities trading. Mr. Chin founded MDE|

| |Walters Capital in 2002, a strategy consulting firm that advises the investment banking and financial services sectors on |

| |investment product distribution, hedge funds advisory, trading psychology, and advanced trading strategies in major financial |

| |centers in London, New York, and |

| |the Asia Pacific Region. Mr. Chin writes the column “The Inner Circle of Finance” at the Hong Kong Economic Journal every Monday. |

| |Mr. Chin is also a board member of a family office with investments primarily in real estate and hedge funds with directional/ |

| |tactical trading styles. On the “inner game” front, Mr. Chin is a Certified NLP Coach, a Master Firewalker, a Certified |

| |Firewalking Instructor and a hypnotherapy practitioner. Mr. Chin is a Canadian Investment Manager (CIM) and a Fellow of the |

| |Canadian Securities Institute (FCSI). Mr. Chin studied speech communication at the University of Minnesota, graduated from the |

| |University of |

| |Manitoba in Applied Economics and received an MBA from the University of Toronto. |

| | |

| |錢志健 |

| |錢志健先生具備二十年的投資組合管理、對沖基金及操盤交易經驗。錢先生於2002年創辦MDE Walters Capital |

| |策略顧問公司，在主要的金融中心為投資銀行及金融服務機構負責提供顧問服務如投資產品銷售、對沖基金策略、交易心理學及操盤交易策略。錢先|

| |生的「金融圈內」專欄，每周一在く信報＞刊登。錢先生同時間是一家族資產公司的董事局成員，主攻地產及方向／策略投資。錢先生為加拿大認可|

| |投資經理 (CIM) |

| |及加拿大證券學會資深院士(FCSI)。錢先生曾於美國明尼蘇達州大學修讀傳理系,並分別於加拿大緬尼吐巴大學獲取應用經濟學學位及於加拿大多倫 |

| |多大學獲取エ商管理碩士學位。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |3.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |0.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |3.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:Not "applicable/ 不適用" |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |3.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[RZ313H300EK110330] |

| |

|Volatility |

|波幅 |

|[Program Code 課程編號:M311] |

|Content 內容 |What is volatility |

| |Volatility versus risk |

| |Methods of measuring volatility |

| |volatility dispersion strategies |

| |latest volatility derivatives |

| |Volatility arbitrage |

| | |

| |什麼是波幅 |

| |波幅與風險 |

| |量度波幅的方法 |

| |分散波幅策略 |

| |最新波幅的衍生工具 |

| |波幅套戥 |

|Date 日期 |06 Apr 2011 (Wed) |

| |2011年4月6日 (三) |

|Time 時間 |6:30 PM - 9:30 PM (3.0 hours 小時) |

|Speaker 講者 |Jacky Chan CFPCM,CFA, FRM |

| |Mr. Jacky Chan has more than 13 years of experience with major international banks where he has been delivering investment advice |

| |and asset management services to ultra-high net worth individual. He has extensive exposure in financial planning and portfolio |

| |management for private clients. He has been conducting different training sessions and workshops in portfolio management, |

| |investment advisory and financial planning. Mr. Chan has practical skills and knowledge in delivering wealth management solutions |

| |with proven track record. |

| | |

| |陳寅龍, CFPCM, CFA, FRM |

| |陳先生於個人及私人銀行業擁有超過13年工作經驗，為高端客戶提供財務策劃及投資方案，在財富管理服務方面積累了相當豐富的經驗。陳先生曾教|

| |授不同培訓課程及工作坊，內容包括: 組合管理、投資建議及財務策劃。陳先生亦擁有豐富提供財富管理的實務技巧及知識。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |3.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |3.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |3.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:80/92/04 |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |3.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[M3113H330JC110406] |

| |

|Analysis of Financial Documents |

|財務文件分析 |

|[Program Code 課程編號:RZ96] |

|Content 內容 |Read a company’s annual report and obtain from it on the information that is useful for financial planners |

| |Read a prospectus and understand what information it provides that is useful to financial planners |

| |Access and analyses of a variety of types if useful financial information from research houses and other sources such as internet |

| |sites |

| |Statement of financial performance, financial position and cash flow |

| |Analysis of financial reports and relevant ratios |

| |The Prospectus : Types, summary, financial information, details of the offer |

| |The investor’s concern |

| | |

| |分析公司年度報告，以獲取有用的信息 |

| |分析招股書，了解有關的資訊 |

| |從不同途徑參閱證券報告及分析各類有關的金融信息及資料來源 |

| |分析財務表現，財務狀況和現金流量 |

| |分析財務報告和相關比率 |

| |招股書的類型、概覽、財務資料、招股詳情 |

| |投資者的風險及注意事項 |

|Date 日期 |11 & 15 Apr 2011 (Mon, Fri) |

| |2011年4月11及15日 (一, 五) |

|Time 時間 |6:30 PM - 9:00 PM (2.5 hours 小時 / Total 共 5.0 hours 小時) |

|Speaker 講者 |Dr. Joseph Chan, Ph.D (Finance), MBA |

| |Dr. Joseph Chan started his career as a market analyst for clients in the mortgage lending industry in United States for six |

| |years. He was then director of a strategic financial consulting company providing financial and IT advices to various financial |

| |institutions in Hong Kong and China. Joseph also accumulates over five years of experience in teaching investment and financial |

| |planning programs in various tertiary education providers in Hong Kong. |

| | |

| |陳紹光博士, Ph.D (Finance), MBA |

| |陳紹光博士於美國有六年的投資分析經驗，專注於按揭借貸業務的分析。回港後與夥伴成立金融與資訊科技顧問服務公司，為本港與內地金融機構提|

| |供相關的服務，陳博士亦於本港不同大學教授財務策劃及投資課程。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |5.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |0.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |5.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:Not applicable/ 不適用 |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |5.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[RZ963A200JO110411] |

| |

|Constructing Personal Financial Plans for Your Clients |

|制定個人財務策劃計劃 |

|[Program Code 課程編號:M110] |

|Content 內容 |Key elements of a financial plan for individual clients |

| |Financial planning advising practices in Hong Kong |

| | |

| |個人財務策劃計劃的重要元素 |

| |財務策劃的實務分享 |

|Date 日期 |18 Apr 2011 (Mon) |

| |2011年4月18日 (一) |

|Time 時間 |6:30 PM - 8:30 PM (2.0 hours 小時) |

|Speaker 講者 |Jacky Chan CFPCM,CFA, FRM |

| |Mr. Jacky Chan has more than 13 years of experience with major international banks where he has been delivering investment advice |

| |and asset management services to ultra-high net worth individual. He has extensive exposure in financial planning and portfolio |

| |management for private clients. He has been conducting different training sessions and workshops in portfolio management, |

| |investment advisory and financial planning. Mr. Chan has practical skills and knowledge in delivering wealth management solutions |

| |with proven track record. |

| | |

| |陳寅龍, CFPCM, CFA, FRM |

| |陳先生於個人及私人銀行業擁有超過13年工作經驗，為高端客戶提供財務策劃及投資方案，在財富管理服務方面積累了相當豐富的經驗。陳先生曾教|

| |授不同培訓課程及工作坊，內容包括: 組合管理、投資建議及財務策劃。陳先生亦擁有豐富提供財富管理的實務技巧及知識。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |2.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |2.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |2.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:80/92/02 |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |2.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[M1103H220JC110418] |

| |

|Beware of Commercial Fraud and False Accounting |

|個案分析-如何提防商業詐騙與偽造帳目 |

|[Program Code 課程編號:RZ46] |

|Content 內容 |Common Scenarios in which professionals can be charged with these offences |

| |Practical tips on avoiding breaches of law |

| |How to cooperate with ICAC/police in their interviews while maintaining your rights? |

| | |

| |透過個案分析了解在什麼情況下財務策劃從業員會構成商業欺騙與賬目偽造 |

| |避免商業欺騙與賬目偽造之實務分享 |

| |權衡自己應有權利之時，如何協助廉政公署 / 警方進行調查? |

|Date 日期 |19 Apr 2011 (Tue) |

| |2011年4月19日 (二) |

|Time 時間 |6:30 PM - 8:30 PM (2.0 hours 小時) |

|Speaker 講者 |Alexander Chan, LLB, LLM, JSD, PhD FCCA, FCPA (Practising), CFP |

| |Mr. Chan has almost 20 years' financial and accounting experience，over half of the time stationed in China. Prior to joining |

| |Taifook Lexton Wealth Management Ltd, he has worked for ABN Amro, Standard Chartered Bank, BNP, Sumitomo group, Sun Hung Kai |

| |Properties group, all are financial heavy weights-to name just a few. |

| | |

| |Mr. Chan graduated from the Chinese University of Hong Kong with a BSSc in Economics and holds doctorate degrees in Law & |

| |Engineering Management. He is currently a fellow in the Hong Kong Institute of CPA, the Chartered Association of Certified |

| |Accountants, the Association of International Accountants, Chartered Institute of Bankers, Royal Society of Arts etc. He is also a|

| |member of Australian Society of CPAs, Certified Management Accountant in the US, the Association of Institute of Chartered |

| |Secretaries and Administrators. As for his legal education, he has earned his LLBs in University of London and Peking University |

| |in the 90s, and a LLM degree in University of London a few years later. Mr. Chan is also an external examiner for the foundation |

| |diploma in Business Administration and he is a consultant or speaker in several of financial or association bodies. |

| | |

| |陳慶生, LLB, LLM, JSD, PhD FCCA, FCPA （Practising）, CFP |

| |陳先生累積了近 20 年的金融機構工作經驗，當中包括了超過 10 年的在大陸各地城市工作。 在加入大福歷斯鄒頓財富管厘理以前，陳先生曾經在 |

| |荷蘭銀行，渣打銀行，法國國民銀行，住友信托銀行，新鴻基房地產公司等跨國金融機構任職。 |

| | |

| |陳先生持有法律和工程管理兩個博士学位。陳先生曾於香港中文大學社會科學院主修經濟學。陳先生現時為香港會計師公會、英國特許認可會計師公|

| |會、英國國際會計師公會、英國特許銀行學會及英國皇家文學院等資深會員;些外，陳先生亦是澳大利亞執業會計師公会，美國認可管理會計師及香 |

| |港特許公司秘書公會會員。在法律領域方面，陳先生在90年代分別於倫敦大學和北京大學取得法律學識學位，其後並取得倫敦大學法律碩士學位。陳|

| |先生現時為香港專業教育學院基礎工商管理文憑的外部考試主任外，也為國內及香港一些團體擔任顧問或教授等職位。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |2.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |0.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |2.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:Not "applicable/ 不適用" |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |2.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[RZ460H200AC110419] |

| |

|Overview of Wealth Management in China – The Landscape and Opportunity |

|中國財富管理市場概覽 – 前景與機遇 |

|[Program Code 課程編號:M409] |

|Content 內容 |Development of the wealth management in the PRC |

| |Strengths and challenges of financial institutions in the PRC |

| |Major market players in the PRC’s wealth management sector |

| |Popular products available from financial institutions in the PRC |

| | |

| |中國財富管理市場的發展 |

| |金融機構的市場優勢與挑戰 |

| |中國財富管理市場的競爭形勢 |

| |中國金融機構的熱門產品 |

|Date 日期 |20 Apr 2011 (Wed) |

| |2011年4月20日 (三) |

|Time 時間 |6:30 PM - 8:30 PM (2.0 hours 小時) |

|Speaker 講者 |Alexander Chan, LLB, LLM, JSD, PhD FCCA, FCPA (Practising), CFP |

| |Mr. Chan has almost 20 years' financial and accounting experience，over half of the time stationed in China. Prior to joining |

| |Taifook Lexton Wealth Management Ltd, he has worked for ABN Amro, Standard Chartered Bank, BNP, Sumitomo group, Sun Hung Kai |

| |Properties group, all are financial heavy weights-to name just a few. |

| | |

| |Mr. Chan graduated from the Chinese University of Hong Kong with a BSSc in Economics and holds doctorate degrees in Law & |

| |Engineering Management. He is currently a fellow in the Hong Kong Institute of CPA, the Chartered Association of Certified |

| |Accountants, the Association of International Accountants, Chartered Institute of Bankers, Royal Society of Arts etc. He is also a|

| |member of Australian Society of CPAs, Certified Management Accountant in the US, the Association of Institute of Chartered |

| |Secretaries and Administrators. As for his legal education, he has earned his LLBs in University of London and Peking University |

| |in the 90s, and a LLM degree in University of London a few years later. Mr. Chan is also an external examiner for the foundation |

| |diploma in Business Administration and he is a consultant or speaker in several of financial or association bodies. |

| | |

| |陳慶生, LLB, LLM, JSD, PhD FCCA, FCPA （Practising）, CFP |

| |陳先生累積了近 20 年的金融機構工作經驗，當中包括了超過 10 年的在大陸各地城市工作。 在加入大福歷斯鄒頓財富管厘理以前，陳先生曾經在 |

| |荷蘭銀行，渣打銀行，法國國民銀行，住友信托銀行，新鴻基房地產公司等跨國金融機構任職。 |

| | |

| |陳先生持有法律和工程管理兩個博士学位。陳先生曾於香港中文大學社會科學院主修經濟學。陳先生現時為香港會計師公會、英國特許認可會計師公|

| |會、英國國際會計師公會、英國特許銀行學會及英國皇家文學院等資深會員;些外，陳先生亦是澳大利亞執業會計師公会，美國認可管理會計師及香 |

| |港特許公司秘書公會會員。在法律領域方面，陳先生在90年代分別於倫敦大學和北京大學取得法律學識學位，其後並取得倫敦大學法律碩士學位。陳|

| |先生現時為香港專業教育學院基礎工商管理文憑的外部考試主任外，也為國內及香港一些團體擔任顧問或教授等職位。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |2.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |2.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |2.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:80/92/05 |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |2.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[M409PH200AC110420] |

| |

|Retirement Planning Recommendation |

|退休策劃建議 |

|[Program Code 課程編號:M210] |

|Content 內容 |Risks faced by retirees and pre-retirees |

| |Pre-retirement versus post-retirement planning investment strategies |

| |Scenarios studies |

| | |

| |準備退休人士及已退休人士所面對之風險 |

| |準備退休人士與已退休人士應有之退休策劃策略 |

| |個案分析 |

|Date 日期 |28 Apr 2011 (Thu) |

| |2011年4月28日 (四) |

|Time 時間 |6:30 PM - 8:30 PM (2.0 hours 小時) |

|Speaker 講者 |Frank Fong CFPCM |

| |Frank is currently a part time instructor in teaching CFP certification education program and other financial courses in the Open |

| |University of Hong Kong. He has engaged in the investment and financial planning business for over 16 years in various |

| |international banks and asset management companies including Citibank, Citicorp China Investment Management Limited and DBS Hong |

| |Kong, etc. Frank graduated from the University of New South Wales, Australia with a Master Degree of Commerce and a Bachelor |

| |Degree of Computer Engineering. He is a Chartered Financial Analyst charterholder and a CERTIFIED FINANCIAL PLANNERCM |

| |certificant. Frank was an Executive Committee Member of IFPHK during the period 2006-2009. He was invited as the guest speaker of|

| |the 2006 Financial Planning Conference and the judge of the 2008 SCMP/IFPHK Financial Planner Awards. |

| | |

| |方建發 CFPCM |

| |方先生現在香港公開大學擔任客座講師，負責教授CFPCM 認證教育課程及其他財經課目。他曾在花旗銀行、中國花旗投資管理有限公司及星展銀行 |

| |等多間國際銀行及資產管理公司任職，專責投資及財務策劃業務，累積經驗超過16 年。 |

| |方先生在澳洲新南威爾斯大學畢業， 先後獲取電腦工程榮譽學士學位以及商業碩士。他同時為特許財經分析師及CFPCM認可財務策劃師。 方建發先 |

| |生曾在2006至2009年擔任香港財務策劃師執行委員會成員，並為2006年度財務策劃會議的主講者及2008年度財務策劃師大獎的評判。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |2.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |2.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |2.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:80/92/03 |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |2.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[M2105H220FF110428] |

| |

|Know Your Client |

|認識你的客戶 |

|[Program Code 課程編號:M205] |

|Content 內容 |Exploring client’s “money personality” |

| |Confirming client’s goals, needs and priorities |

| |Financial counselling versus financial advising |

| | |

| |探討客人的金錢性格 |

| |確立客人的財務目標、需要及優先次序 |

| |財務輔導Vs. 財務諮詢 |

|Date 日期 |29 Apr 2011 (Fri) |

| |2011年4月29日 (五) |

|Time 時間 |6:30 PM - 9:30 PM (3.0 hours 小時) |

|Speaker 講者 |Ringo Yuen |

| |Mr. Yuen was the Deputy Head of Financial Institutions Department for ICBC (Asia). Prior to that, he was a Senior Vice President |

| |and Head of Relationship Management of Financial Institutions – North Asia for HSH NordBank AG. In addition, he was a Director of|

| |Financial Institution Greater China for National Australia Bank. Mr. Yuen has over 20 years of experience in marketing and |

| |relationship management within the banking industry. He has a strong proven record of successfully selling / cross-selling a |

| |variety of banking products to both high net worth clients as well as financial institution clients, generating high incremental |

| |revenue. During his engagements with Citibank and ABN AMRO, he originated a number of new product ideas that result in |

| |diversification of the revenue sources. His primary responsibilities include developing, implementing and executing comprehensive|

| |account plans and call programs for different clients to achieve budgeted growth in assets, liabilities and earnings. Mr. Yuen |

| |holds a Master of Science (Business Administration) and a Bachelor of Commerce from the University of British Columbia. |

| | |

| |阮志國 |

| |阮先生曾任職德國北方銀行香港分行金融機構北亞洲部高級副總裁及客戶關係主管。在此之前，阮先生任職澳洲銀行金融機構部主管。阮先生具備超|

| |過二十年有關銀行業的市場及關係管理方面的經驗。他能從銷售/交易買賣有關不同類別的銀行產品予客戶及金融機構中賺取高回報的收入。在過往 |

| |任職花旗銀行及荷蘭銀行期間，阮先生推出一系列新產品概念，從而擴大公司的收入來源。阮先生工作範疇包括發展、推行及執行完善的客戶聯絡計|

| |劃，從而改善資產、負債及收益方面的增長。阮先生持有加拿大英屬哥倫比亞大學工商管理碩士及商學學士。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |3.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |3.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |3.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:80/92/03 |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |3.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[M2051H330RG110429] |

| |

|Overview and Selection of Hedge Funds |

|對沖基金的概覽及選擇 |

|[Program Code 課程編號:M308] |

|Content 內容 |Basics of Hedge Funds |

| |Hedge Fund Strategies |

| |Risk Management for Hedge Funds |

| |Valuation of Hedge Funds |

| |Being a Hedge Fund Investor |

| |Trends in the Hedge Fund Industry |

| | |

| |對沖基金的概念 |

| |對沖基金的策略 |

| |對沖基金的風險管理 |

| |對沖基金的定價 |

| |對沖基金投資者注意事項 |

| |對沖基金行業的走勢 |

|Date 日期 |04 & 6 May 2011 (Wed, Fri) |

| |2011年5月4及6日 (三, 五) |

|Time 時間 |6:30 PM - 9:00 PM (2.5 hours 小時 / Total 共5.0 hours 小時) |

|Speaker 講者 |Daniel Jim CFA |

| | |

| |Mr. Daniel Jim is a 17-year veteran in the field of absolute return target investing with a focus in the Greater China region. He |

| |has extensive working relationships with major European institutions including mutual funds, insurance and proprietary desks. Mr. |

| |Jim founded Tripod Management in 1999, an investment management and advisory firm based in Hong Kong. |

| | |

| |詹博聞 CFA |

| | |

| |詹先生擁有17年豐富經驗，並專注大中華地區的別類投資策略。他亦與歐洲不同的機機，包括互惠基金、保險及私有化公司有廣闊網絡。詹先生於19|

| |99年在香港成立投資管理及顧問公司Tripod Management。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |5.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |5.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |5.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:80/92/04 |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |5.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[M3083A220DJ110504] |

| |

|Value Investing |

|價值投資法 |

|[Program Code 課程編號:RZ53] |

|Content 內容 |The precepts of value investing, i.e. the classic Graham and Dodd value investing approach |

| |The Warren Buffett approach to value investing |

| |Value investing in practice |

| | |

| |價值投資法的核心基本理念，格雷厄姆-多德的價值投資策略 |

| |巴菲特推祟的價值投資觀念 |

| |價值投資的實務分享 |

|Date 日期 |05 May 2011 (Thu) |

| |2011年5月5日 (四) |

|Time 時間 |6:30 PM - 9:30 PM (3.0 hours 小時) |

|Speaker 講者 |Carlos Wong, MBA, CFA, CFP, FRM |

| |Carlos Wong has more than ten years of professional experience in the banking, securities and financial planning industries, where|

| |he delivered various financial products and services to clients. As the Head of Investment Advisory of a Financial Group, Mr. Wong|

| |is in charge of the investment business of the Group and is responsible for providing investment advisory services to the |

| |frontline staff and high net worth clients. He has been conducting various training sessions and workshops in financial planning, |

| |investment management and selling skills, and frequently speaks on financial planning topics. |

| | |

| |黃偉麒, MBA, CFA, CFP, FRM |

| |黃先生於銀行、證券及財務策劃行業擁有超過10年經驗，為客戶提供優質的理財方案及服務。他現職著名金融集團的投資研究部主管，專責發展集團|

| |的投資業務及為前缐銷售人員和客戶提供優質的投資顧問服務。 |

| |黃先生曾於不同場合擔任財務策劃、投資管理及銷售技巧培訓課程工作坊的導師。更多次為不同機構的財務策劃講座擔任主講嘉賓。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |3.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |0.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |3.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:Not "applicable/ 不適用" |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |3.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[RZ533H300CW110505] |

| |

|Credit Risk Analysis of Financial Institutions |

|金融機構信貸風險管理分析 |

|[Program Code 課程編號:RZ34] |

|Content 內容 | |

|Date 日期 |12 May 2011 (Thu) |

| |2011年5月12日 (四) |

|Time 時間 |6:30 PM - 9:30 PM (3.0 hours 小時) |

|Speaker 講者 |Ringo Yuen |

| |Mr. Yuen was the Deputy Head of Financial Institutions Department for ICBC (Asia). Prior to that, he was a Senior Vice President |

| |and Head of Relationship Management of Financial Institutions – North Asia for HSH NordBank AG. In addition, he was a Director of|

| |Financial Institution Greater China for National Australia Bank. Mr. Yuen has over 20 years of experience in marketing and |

| |relationship management within the banking industry. He has a strong proven record of successfully selling / cross-selling a |

| |variety of banking products to both high net worth clients as well as financial institution clients, generating high incremental |

| |revenue. During his engagements with Citibank and ABN AMRO, he originated a number of new product ideas that result in |

| |diversification of the revenue sources. His primary responsibilities include developing, implementing and executing comprehensive|

| |account plans and call programs for different clients to achieve budgeted growth in assets, liabilities and earnings. Mr. Yuen |

| |holds a Master of Science (Business Administration) and a Bachelor of Commerce from the University of British Columbia. |

| | |

| |阮志國 |

| |阮先生曾任職德國北方銀行香港分行金融機構北亞洲部高級副總裁及客戶關係主管。在此之前，阮先生任職澳洲銀行金融機構部主管。阮先生具備超|

| |過二十年有關銀行業的市場及關係管理方面的經驗。他能從銷售/交易買賣有關不同類別的銀行產品予客戶及金融機構中賺取高回報的收入。在過往 |

| |任職花旗銀行及荷蘭銀行期間，阮先生推出一系列新產品概念，從而擴大公司的收入來源。阮先生工作範疇包括發展、推行及執行完善的客戶聯絡計|

| |劃，從而改善資產、負債及收益方面的增長。阮先生持有加拿大英屬哥倫比亞大學工商管理碩士及商學學士。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |3.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |0.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |3.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:Not "applicable/ 不適用" |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |3.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[RZ343A200RG110512] |

| |

|MPF Updates |

|強積金之最新資訊 |

|[Program Code 課程編號:M109] |

|Content 內容 |Updates Statistics on MPF |

| |Code on Disclosure for MPF Investment Funds |

| |Improve the Content of Annual Benefit Statement |

| |Changes to the MPF Legislations |

| |Implication to the MPF Market |

| |Trend in Pension Products and Services |

| | |

| |強積金最新統計數字 |

| |強積金投資基金披露守則 |

| |關於改良周年權益報表內容 |

| |與強積金有關條例的更改 |

| |對強積金市場的影響 |

| |退休產品及服務的發展趨勢 |

|Date 日期 |18 May 2011 (Wed) |

| |2011年5月18日 (三) |

|Time 時間 |6:30 PM - 8:30 PM (2.0 hours 小時) |

|Speaker 講者 |Ronald Li, B.Soc.Sc., M.Sc., CFA, CFP, CIIA, FRM, MHKSI, AHKIB, DMS, FAIQ(CII) |

| |Ronald Li has more than 22 years of relevant experience in the investment and banking industry. Prior to his present position in |

| |Bank of China (HK), he was the head of Customer Investment Services Department of a member bank of BOC Group. After the |

| |reorganization of BOC Group, Ronald was responsible for the setting up of the wealth management business of BOC(HK). |

| |Ronald has been the part-time instructor for various courses relating to investment and financial planning for more than 10 years.|

| |Currently, he is studying a part-time PhD degree course in University of Shanghai Finance and Economics. |

| | |

| |李明傑, B.Soc.Sc., M.Sc., CFA, CFP, CIIA, FRM, MHKSI, AHKIB, DMS, FAIQ(CII) |

| |李明傑先生從事銀行及投資行業已超過22年，在中銀香港重組之前，曾任職其中一家中銀集團成員銀行的客戶投資服務部主管多年。中銀重組後，曾|

| |負責建構財富管理業務。 |

| |最近李先生一直擔任兼職導師，主講多個投資及金融財務課程，現時他正於上海財經大學修讀金融學博士學位。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |2.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |2.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |2.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:80/92/02 |證監會 | |小時 |

| |MPFA |2.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |0.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[M1093H222RL110518] |

| |

|Life Stage Planning Recommendations |

|人生階段策劃建議 |

|[Program Code 課程編號:M212] |

|Content 內容 |Preparing for life stages events |

| |Scenario studies |

| | |

| |如何為人生不同階段作準備 |

| |個案研習 |

|Date 日期 |19 May 2011 (Thu) |

| |2011年5月19日 (四) |

|Time 時間 |6:30 PM - 8:30 PM (2.0 hours 小時) |

|Speaker 講者 |Frank Fong CFPCM |

| |Frank is currently a part time instructor in teaching CFP certification education program and other financial courses in the Open |

| |University of Hong Kong. He has engaged in the investment and financial planning business for over 16 years in various |

| |international banks and asset management companies including Citibank, Citicorp China Investment Management Limited and DBS Hong |

| |Kong, etc. Frank graduated from the University of New South Wales, Australia with a Master Degree of Commerce and a Bachelor |

| |Degree of Computer Engineering. He is a Chartered Financial Analyst charterholder and a CERTIFIED FINANCIAL PLANNERCM |

| |certificant. Frank was an Executive Committee Member of IFPHK during the period 2006-2009. He was invited as the guest speaker of|

| |the 2006 Financial Planning Conference and the judge of the 2008 SCMP/IFPHK Financial Planner Awards. |

| | |

| |方建發 CFPCM |

| |方先生現在香港公開大學擔任客座講師，負責教授CFPCM 認證教育課程及其他財經課目。他曾在花旗銀行、中國花旗投資管理有限公司及星展銀行 |

| |等多間國際銀行及資產管理公司任職，專責投資及財務策劃業務，累積經驗超過16 年。 |

| |方先生在澳洲新南威爾斯大學畢業， 先後獲取電腦工程榮譽學士學位以及商業碩士。他同時為特許財經分析師及CFPCM認可財務策劃師。 方建發先 |

| |生曾在2006至2009年擔任香港財務策劃師執行委員會成員，並為2006年度財務策劃會議的主講者及2008年度財務策劃師大獎的評判。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |2.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |2.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |2.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:80/92/03 |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |2.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[M2121H220FF110519] |

| |

|Customer Relationship Management - Principles & Techniques |

|客戶關係管理 - 理論與實踐 |

|[Program Code 課程編號:RZ44] |

|Content 內容 |Introduction to customer relationship management (“CRM”) |

| |Traditional marketing versus CRM |

| |Core principles of CRM |

| |Development of CRM |

| |Critical components of CRM |

| |Fundamental and communication techniques in CRM |

| |Formalization of marketing call plan |

| | |

| |「客戶關係管理」概念 |

| |分辨傳統市場推廣與新派「客戶關係管理」 |

| |「客戶關係管理」之重要原則 |

| |如何建立有系統的「客戶關係管理」 |

| |「客戶關係管理」之重要元素 |

| |「客戶關係管理」之基礎及溝通技巧 |

| |實踐有效「客戶關係管理」計劃的經驗分享 |

|Date 日期 |23 & 30 May 2011 (Mon) |

| |2011年5月23及30日 (一) |

|Time 時間 |6:30 PM - 9:00 PM (2.5 hours 小時 / Total共 5.0 hours 小時) |

|Speaker 講者 |Ringo Yuen |

| |Mr. Yuen was the Deputy Head of Financial Institutions Department for ICBC (Asia). Prior to that, he was a Senior Vice President |

| |and Head of Relationship Management of Financial Institutions – North Asia for HSH NordBank AG. In addition, he was a Director of|

| |Financial Institution Greater China for National Australia Bank. Mr. Yuen has over 20 years of experience in marketing and |

| |relationship management within the banking industry. He has a strong proven record of successfully selling / cross-selling a |

| |variety of banking products to both high net worth clients as well as financial institution clients, generating high incremental |

| |revenue. During his engagements with Citibank and ABN AMRO, he originated a number of new product ideas that result in |

| |diversification of the revenue sources. His primary responsibilities include developing, implementing and executing comprehensive|

| |account plans and call programs for different clients to achieve budgeted growth in assets, liabilities and earnings. Mr. Yuen |

| |holds a Master of Science (Business Administration) and a Bachelor of Commerce from the University of British Columbia. |

| | |

| |阮志國 |

| |阮先生曾任職德國北方銀行香港分行金融機構北亞洲部高級副總裁及客戶關係主管。在此之前，阮先生任職澳洲銀行金融機構部主管。阮先生具備超|

| |過二十年有關銀行業的市場及關係管理方面的經驗。他能從銷售/交易買賣有關不同類別的銀行產品予客戶及金融機構中賺取高回報的收入。在過往 |

| |任職花旗銀行及荷蘭銀行期間，阮先生推出一系列新產品概念，從而擴大公司的收入來源。阮先生工作範疇包括發展、推行及執行完善的客戶聯絡計|

| |劃，從而改善資產、負債及收益方面的增長。阮先生持有加拿大英屬哥倫比亞大學工商管理碩士及商學學士。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Cantonese 廣東話 | |

| |IFPHK |5.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |0.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |5.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:Not "applicable/ 不適用" |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |5.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[RZ443H500RG110523] |

| |

|PRC High Net Worth – What is Their Risk Profile and Investment Preference? |

|高端客戶的財富管理策略–風險承受程度及投資取向 |

|[Program Code 課程編號:M410] |

|Content 內容 |Understand the investment behavior, risk profiles and investment preference of high net worth individuals in the PRC |

| |Market segmentation in the PRC – Ultra High Net Worth vs. High Net Worth vs. Mass Affluent |

| |Linking client requirements to product opportunities |

| |Case study: portfolio planning for HNWI in the PRC |

| | |

| |了解中國高端客戶的投資習慣、風險承受程度及投資取向 |

| |中國財富管理市場的劃分 – 高端客戶、中高端客戶與中產市場 |

| |客戶的需求與理財產品的發展 |

| |個案分析 – 針對高端客戶的投資組合策劃 |

|Date 日期 |25 May 2011 (Wed) |

| |2011年5月25日 (三) |

|Time 時間 |6:30 PM - 8:30 PM (2.0 hours 小時) |

|Speaker 講者 | |

| |古先生曾於大中華區多間著名的金融服務機構擔任要職，於私人銀行及個人理財業擁有豐富經驗。古先生現任國際金融理財標準委員會中國專家委員|

| |會授權機構 - 廣東金融學院國際CFP項目中心教研部負責人，負責國際專業資格認證及金融業務培訓課程的開發及組織。 |

| | |

| |古先生曾任職於新加坡康儲財務顧問服務公司副總裁，擔任獨立理財顧問和財務規劃顧問等職務，與UBS等金融機構合作，在內地、新加坡、香港等 |

| |地為華人高端客戶提供風險管理、投資建議、基金顧問銷售、金融市場分析、財產移轉、稅務規劃、藝術品鑒賞等私人銀行服務。在此之前，任職於|

| |台灣某證券投資顧問公司，負責境外基金顧問銷售、金融市場分析及私人銀行服務；以及美國Merrill Lynch |

| |Co，負責金融市場資料收集及研究工作。 |

| | |

| |古先生畢業於台灣大學後負笈美國三藩市Golden Gate University，專攻財務金融學並取得碩士學位，同時擁有中國、台灣及香港CFP認證資格。 |

| |Continuing Education Recognition 持續進修時數 |

|Medium of Instruction 語言 Mandarin 國語 | |

| |IFPHK |2.0 |CE credits |

| |香港財務策劃師學會 | |學分 |

| |IA |2.0 |CPD hours |

| |保監處 | |小時 |

| |SFC |2.0 |CPT hours |

|HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:80/92/05 |證監會 | |小時 |

| |MPFA |0.0 |Core CPD hours |

| |積金局 | |核心小時 |

| | |2.0 |Non Core CPD |

| | | |hours非核心小時 |

| |[M410PH200RK110525] |

[pic]

-----------------------

■ 衍生工具的定義

■ 結構性金融產品的最新發展

■ 衍生工具的種類

■ 期貨合約

■ 期權的基本原理

■ 期權的投資策略

■ 衍生工具相關投資產品

- 備兌認股權證

- 股票掛鉤投資工具

- 累計股票期權 /累沽票據

- 可贖回牛熊證

Benefits from Investment Policy Statement – Managing Individual Investor Portfolio

制定投資政策聲明的優勢-管理個人投資組合

[Program Code 課程編號:ZZ33]

Objective 目標

▪ Understanding what are situational profiling and psychological profiling.

▪ Understanding how to use situational profiling and psychological profiling as tools to investigate individual’s economic situation and investment behavior.

▪ Understanding how to create an Investment Policy Statement and its benefits for clients and advisers.

▪ 認識甚麼是情景分析與心理分析

▪ 認識如何利用情景分析與心理分析瞭解客戶的財政狀況及投資行為

▪ 認識如何制定投資政策聲明及利用投資政策聲明保障客戶及財務顧問

|Date 日期 |18 Feb 2011 (Fri) 2011年2月18日 (五) |

|Time 時間 |9:30 AM - 5:30 PM |

|Workshop Highlights |內容 |

| | |

|Situational profiling |情景分析 |

|What is situational profiling? |甚麼是情景分析？ |

|How to use situational profiling as a tool to investigate source of wealth, |如何利用情景分析評估客戶的財富來源、衡量財富及生命週期 |

|measure of wealth, and life stages of an individual investor. |如何準備初步的情景分析 |

|How to prepare an elementary situational profile. | |

| |心理分析 |

|Psychological profiling |甚麼是心理分析？ |

|What is psychological profiling? |了解客戶的投資行為 |

|Understanding individual investor behavior. |客戶的心理狀況如何影響風險取態及投資決定 |

|Influence of investor psychology on risk tolerance and investment choices. |客戶的性格與風險取態及決策風格的關係 |

|Investor’s personality type and its relation to risk attitudes and decision | |

|making styles |投資政策聲明 |

| |甚麼是投資政策聲明？ |

|Investment Policy Statement |制定投資政策聲明對客戶及理財顧問的好處 |

|What is an Investment Policy Statement? |個人投資的目標和限制 |

|Potential benefits for both clients and investment advisors of having a formal|根據客戶的投資目標和限制制定合適的策略性資產配置 |

|investment policy statement. | |

|Individual’s investment objective and constraint | |

|Formulate an appropriate strategic asset allocation to match investor’s | |

|objective and constraints | |

|Speaker 講者 |Jacky Chan CFPCM,CFA, FRM |

| |Mr. Jacky Chan has more than 13 years of experience with major international banks where he has been delivering investment advice |

| |and asset management services to ultra-high net worth individual. He has extensive exposure in financial planning and portfolio |

| |management for private clients. He has been conducting different training sessions and workshops in portfolio management, |

| |investment advisory and financial planning. Mr. Chan has practical skills and knowledge in delivering wealth management solutions |

| |with proven track record. |

| | |

| |陳寅龍, CFPCM, CFA, FRM |

| |陳先生於個人及私人銀行業擁有超過13年工作經驗，為高端客戶提供財務策劃及投資方案，在財富管理服務方面積累了相當豐富的經驗。陳先生曾教|

| |授不同培訓課程及工作坊，內容包括: 組合管理、投資建議及財務策劃。陳先生亦擁有豐富提供財富管理的實務技巧及知識。 |

| | |

|Continuing Education Recognition 持續進修時數 |

|IFPHK |6.0 |CE credits |

|香港財務策劃師學會 | |學分 |

|IA |0.0 |CPD hours |

|保監處 | |小時 |

|SFC |6.0 |CPT hours |

|證監會 | |小時 |

|MPFA |0.0 |Core CPD hours |

|積金局 | |核心小時 |

| |6.0 |Non Core CPD |

| | |hours非核心小時 |

|[ZZ333H600JC110218 ] |

Medium of Instruction 語言 Cantonese 廣東話

HKCAAVQ ref香港學術及職業資歷評審局核准課程參考編號:Not "applicable/ 不適用"

■ 何謂信貸風險與信貸分析

■ 信貸分析與風險分析

■ 金融機構的基本特徵

■ 商業銀行之信貸風險分析: CAMEL 評級制度

■ - 資本充足比率

■ - 資產質素

■ - 管理能力

■ - 盈利能力

■ - 流動性

■ 保險公司之信貸風險分析

■ - 保險公司投資政策

■ - 財產保險公司投資政策

■ - 人壽保險公司之風險類別

■ - 分析人壽保險公司之財務報告表

■ - 財產保險公司之信貸分析

■ What are the credit risk & credit analysis?

■ Credit analysis versus risk analysis

■ What are the basic characteristics of financial institutions?

■ Credit risk analysis of commercial banks:

CAMEL analysis

■ - Capital adequacy

■ - Asset quality

■ - Management

■ - Earning

■ - Liquidity

■ Credit risk analysis of insurance companies

■ - Investment policies of life insurance companies

■ - Investment policies of property-casualty insurance companies

■ - Risk categories for life insurance companies

■ - Analysis the financial statements of life insurance companies

■ - Credit analysis of property-casualty insurance companies

................
................

In order to avoid copyright disputes, this page is only a partial summary.

Google Online Preview   Download