The Hong Kong Society of Wealth Management (HKSWM) aims to provide professional examinations assisted training programmes to banking and financial practitioners for their preparation in awarding their professional qualifications from professional bodies, both in Hong Kong, Macau and overseas. HKSWM also offers a comprehensive range of professional services including continuing professional development (CPD) training programmes; consultancy services and project and events management, etc.
Our mission is to contribute to the professional development of banking and financial practitioners and executives, and the growth of the financial industry in the region. HKSWM will partner with industry professionals and experts mainly from private wealth management, fund management, universities and leading business schools, and other professional bodies for the purpose.
Our Team of Subject Experts include:
Experienced trainers/ speakers who understand professional examination/ assessment requirements and troubleshoot problems
Experienced tutors who will provide techniques for question-answering ability
Industry experts who will provide insight, market update and regulatory requirements and good practice
Mr. Keith SUEN
Keith has worked in the banking and financial industry in both United States of America and Hong Kong for over 15 years. He started his financial career from San Francisco, California. Afterward, returned back to Hong Kong, and joined a professional institute for Banking Industry in Hong Kong as a senior learning and development manager, mainly responsible in leading different training and development projects, i.e. Qualification Framework (QF), Enhanced Competence Framework (ECF), Specification of Competency Standard (SCS) Based, Professional Qualifications development e.g. CFMP, CB and Regulators’ Dialogues and Directors’ Thematic Seminar, etc. In addition, Mr. Suen also worked at a listed International Securities Company, responsible and in-charged for the Training Strategy, Professional and Talent Development for the Group (including overseas offices).
Mr. Suen works in different financial institutions and departments (front, middle and back offices) and possesses extensive work and training experience in the professional competence requirements and training development for financial practitioners in Hong Kong.
Mr. Suen obtained both the Master of Business Administration (MBA) Degree majoring in Finance and Management, and the Bachelor of Business Administration Degree majoring in Banking, Finance and Marketing from the Universities in the United State of America.
Mr. Alvin MA
Mr. Ma has been involved in the wealth management & investment banking field for over 35 years. He is now Managing Director & Partner (RO of both Type 4 & 9 License under the Securities Futures Commission (SFC) in HK) of Axiom Investment Management Limited. Prior to Axiom, Alvin was an Executive Officer in EFG. In addition, he also worked at different Chinese and Global Financial Institutions, i.e. China CITIC Bank International Limited, Credit Suisse, UBS AG, Standard Chartered Bank, Bayerische Verein sbank A.G. Hong Kong, and Citibank N.A. He has been involved in the wealth management & investment banking field at various international banks for over 32 years. With a focus on asset protection and management, Alvin specialises in financial planning and investment advisory through a variety of investment products. With his rich experience and expertise in wealth management, he is also a guest lecturer at numerous institutions and universities where he conducts seminars and courses on the topics of financial markets, derivatives, currencies, risk management, and asset protection and management.
Mr. Ma received his Master of Science in Accounting and Finance from the Oklahoma State University, U.S.A. Mr. Ma is now a Certified Private Wealth Professional (CPWP). He is also a Certified Financial Management Planner (CFMPTM) & Associate AML Professional (AAMLP) member under The Hong Kong Institute of Bankers.
Ms. Catherine NG
Catherine has a legal background and has been working for major international banks in Singapore and Hong Kong since the early 1990's in roles that span the risk management and compliance functions in Corporate & Investment Banking and Private Banking. Catherine was instrumental in the setting up and running of the compliance function in several banks from 1998 and has held Head of Compliance and MLRO positions in the region overseeing regulatory compliance, AML/CFT and compliance controls. In her last role, Catherine was the Regional Head of Compliance for a global private bank.
She currently runs her own compliance advisory and consultancy business and actively contributes to the enhanced competency framework for private wealth management and AML/CFT by the Hong Kong Monetary Authority (HKMA) through The Hong Kong Institute of Bankers (HKIB).
Ms. Helen KWOK
Helen has been a financial services consultant for more than 8 years in global consulting companies. Her coverage including data and risk analytics, risk management, regulatory compliance, financial crime compliance, fintech and regtech solution application and implementation. Her experience covers Hong Kong, China, Taiwan and South East Asia. Prior to her profession as a consulting, she worked with the Hong Kong Monetary Authority and professional trainer the Hong Kong Institute of Bankers on a part-time basis.
Helen is degree holder of Juris Doctor, Master of Science in Finance and Bachelor of Social Science with Honours.
Mr. KAM Yan Sang
Mr. Kam is working as Principal Consultant in CTRisk Solution. Mr Kam has worked as Executive Director of a well-known Chinese bank. He has been working in private wealth management field in various banks including Standard Chartered Bank, ING Asia Private Bank, Credit Agricole (Swiss), Bank of China International, and ICBC Asia. Before that, he was working in capital market and treasury for 12 years for banks including Mitsubishi Trust & Banking, Societe Generale Asia, DKB Asia Ltd .
Mr. Kam has the professional qualification of MSc in Financial Management by University of London and BA (Hons) by University of Hong Kong. He is also a Financial Risk Manager (FRM), Certified Management Accountant (CMA), Certified Private Wealth Professional (CPWP), and Certified Anti-Money Laundering Specialist(CAMS®).
Dr. Raymond LEE
Dr. Lee has over 20 years’ experience in financial industry specialized in investment, analyzing and wealth management planning. He is a senior Consultant of The Hong Kong Institute of Bankers and a lecturer at local universities in Hong Kong for 10 years. He conducted training courses and seminars for various banks and financial institutions in the areas of accounting, law, economics, financial planning, investment management, corporate finance, foreign exchange, fund management and banking system, etc.
Dr. Lee holds the qualification of PhD (Finance), MPhil (Economics and Finance), MPhil (Accounting and Law), BBA (Hons.) in Finance, FChFP, CFAI, CFSI, FCAMA, MHKSI
Dr. Lee has also worked and participated the following positions:
Investment Bank Analyst, Credit Suisse First Boston – managed and traded over USD 100 million assets
Project Analyst, Asia-Pacific Economic Cooperation (APEC) recruited by HKSAR
Lecturer and Analyst for different Universities (i.e. The Chinese University of Hong Kong, City University of Hong Kong, Hong Kong Baptist University, and The Open University of Hong Kong)
Honorary Advisor, The Chinese University of Hong Kong
Executive Director, Hong Kong Financial Services Professionals Association Limited (HKFsPA香港金融業協會)
Subject Specialist, Hong Kong Council for Accreditation of Academic and Vocational Qualifications (HKCAAVQ)
Academic Accreditation Committee, International Association of Registered Financial Consultants (IARFC)
Mr. Jaffy NG
Mr. Ng possesses over 35 years of all rounded and hands on experiences relating to credit risk control and management role, he began his career by spending in corporate banking of leading European banks, say in chronological order: Barclays, Bank Austria, and KBC, as analyst and credit administration manager on working capital finance, project finance, syndicated lending etc, in early stage.
Later after 1996, he started his private banking journey at UBS as credit controller and evolved into credit origination/structuring role on portfolio lending and special credit structure like yacht financing and mortgage-backed deals to enhance private banking business. Then, he started a new experience in private banking platform and overlook credit solution on Lombard loans, UL policy financing etc, AML control, KYC and onboarding approval with a China-based bank.
Mr. Peter LIU
Mr. Liu possess over 30 years of professional insurance and wealth management experience in Financial industry. In additional to his professional experience in finance, Mr. Liu holds sufficient experience in professional training, and provides training consultancy for Multinational Financial institutions, Government, and Universities.
Mr. Liu has professional qualification of Master of Business Administration and Bachelor of Art degrees, and also Certified Instructor of Hypnotherapist and Certified Hypnotherapist, Master NLP Practitioner, Life Underwriter Training Council Fellowship, and Fellowship of Chartered Financial Practitioner.
Mr. Johnny CHAN
Mr. Chan is an expert in Investment and Financing, and Asset and Wealth management for High-net-worth individuals. He holds the qualifications of Chartered Financial Analyst (CFA) and Financial Risk Manager (FRM). Johnny graduated from the Chinese University of Hong Kong with a bachelor's degree in Economics and a Master’s degree in Business Administration from the Shanghai University of Finance and Economics.
Johnny provides advisory service regarding merge and acquisition, investment and financing to listed companies in Hong Kong (such as issuing Bonds, green financing instruments and other financing instruments), and also provides pre-IPO advisory and related capital market services to companies planning to go IPO in Hong Kong. He also provides asset and wealth management services to high-net-worth clients and their corporate (with AUM over hundreds of millions of dollars). In the past, he provides training consultation services to over 100 start-ups from the greater China area. He also gives training consultancy for the Global, Chinese and Local Financial institutions on different topics of the financial market.
Scope of Services
Our training programmes for financial professionals include :
Professional Examination Assisted Training Workshops
Continuing Professional Development (CPD) training courses
Projects and Events management
Consultancy and advisory services
Our Training Courses
is equipped with qualified and profound trainers who have good experience in the financial industry particularly in retail banking and private banking, wealth and asset management, risk and compliance, and treasury realm who will deliver quality training. They will facilitate learners to attain various Professional Qualifications, i.e. ECF on Private Wealth Management, Retail Wealth Management (RWM), AML/CFT, Cybersecurity, Credit Risk and Treasury Management; CFA, FRM, CFP and Certified Banker (CB), etc.
Professional Examination Assisted Training Programmes
ECF - Following the announcement of the launch of the ECF in 2014, The Hong Kong Monetary Authority (HKMA) encourage banks to plan ahead and to monitor the progress of their staff members in meeting the ECF benchmark.
1) Assisted Training Workshop for ECF Examination
The ECF covers 6 Professional Business Streams of Banking:
Retail Wealth Management (RWM)
Anti-Money Laundering and Counter-Terrorist Financing (AML/CFT)
Credit Risk Management
Risk Management, Compliance and Internal Controls
1.1) Exam Preparation Course
HKSWM offers intensive training in way of approaching questions and answering techniques. Our professional trainer will also focus on special training in overview of common mistakes in the examinations, examples of misinterpreting questions, etc. The training courses will consist four parts with 6 hours training with a mock examination for each part.
1.2) Study Group
HKSWM offers tailor-made group lessons for candidates who has not yet completed the examination successfully. We will provide consulting to candidates by referring to their examination result. The trainer will confirm the level of understanding in the learning concepts and to identify the reasons for not passing examination. Candidates will receive good care based on the individual potential. Personal attention will be paid to the areas of doubt or weakness. Mock examination in each topic will be prepared based on syllabus and professional experience of consultants. Our consultants / trainers will also assess and evaluate the mock examination results and to strengthen the areas with poor performance.
Continuing Professional Development (CPD) Training Courses
HKSWM provides in-house training courses relating to private wealth management industry, retail wealth management, corporate banking, AML and compliance, investment, treasury, risk management, cybersecurity, and FinTech etc. We will also provide tailor-made training for financial institutions in Hong Kong, Macau and mainland China to cater for their unique staff development need.
Projects and Events Management
Our team have excellent experience in industry and professional event management particularly the partnering with regulatory bodies. We will provide a comprehensive range of event, industry award, conference and seminar management services. We are flexible in our approach and can tailor our services to organizations’ requirements to ensure they achieve goal.
Below are examples of services we will provide:
Allocation of a dedicated Event Manager – your single point of contact for everything related to your event
Sourcing of the venue – we can undertake a thorough venue search on your behalf and present you with venues suitable to your events requirements
Preparation and distribution of all registration and promotional materials
Liaison with the venue on all venue related matters: initial contract negotiation and review, coordination of food and beverage requirements, access for exhibitors, conference deliveries and collections; special dietary requirements.
Sourcing and coordination of conference satchels, name badges, function tickets, delegate lists, conference programmes, local maps, tourist information and entertainment as required.
Sourcing of MCs, Speakers, and Entertainment.
Be present on site at all times throughout your event to ensure it runs smoothly on the day.
Consultancy and Advisory Services
HKSWM offers a range of training and business solutions to organizations. Our training consultancy services include development of a flexible training plan relevant to organization’s or employees' needs and developing accredited and client contextualized training and assessment. We are able to provide partnership arrangements to organizations to enhance competency by developing accredited qualifications. Partnerships with HKSWM allow organizations to build comprehensive training and qualifications framework to their employees or industry practitioners to meet industry requirements and being recognized by industry. Our experts have extensive experience in assisting organization to apply accreditation which will be up to Level 6 (Master’s degree) qualification programmes under Hong Kong Qualifications Framework.
Our experts have also involved in the government projects of writing the Specification of Competency Standards (SCS) manual and Vocational Qualification Pathway (VQP) for retail banking .
Regulatory Environment for Banking and Financial Planning
Essentials of Banking
Insurance and Retirement Planning
Investment and Asset Management:
Investment and Asset Management:
Financial Planning and Wealth Management
Distinguished Insurance Planning and
Wealth Management Innovation (IPWMI) Award
The 1st Distinguished IPWMI Award
With a mission to further develop the leading status of Hong Kong as an international financial centre, and in view of the growing importance of promoting and adopting advanced technology, such as InsurTech and FinTech, in insurance planning and wealth management, the Hong Kong Society of Wealth Management (HKSWM) has joined hands with the Hong Kong Financial Services Professionals Association (HKFSPA) and Academy of Insurance (AoI), and CT Goodjob as Digital Media Partner, with Hong Kong Economic Times (HKET) as Media Sponsor.
The Award has a very specific objective and a transparent Assessment Criteria, giving it a reputable accreditation which is well recognized the professionals in financial industry and the general public. In addition, the corporate branding and professional image of your organization to the public will be enhanced, as you will be demonstrating:
Advanced innovation of Financial Technology (Fintech) and Insurance Technology (Insurtech) to help customers achieve their goals and needs;
Professionalism and competence in financial and insurance knowledge and skills, and the high-level integrity of your Advisors, Specialists and Planners.
The IPWMI Award is open to ALL the insurance planning and wealth management practitioners and university students.
There are THREE streams under the IPWMI Award:
INSURANCE MANAGEMENT: Distinguished Insurance Planning Professional (DIPP) Award
WEALTH MANAGEMENT: Distinguished Wealth Management Professional (DWMP) Award
YOUTH TALENT: Young Talent (YT) Award
For the details and registration of the IPWMI Award, please click on following BUTTON:
TOP 10 Winners of Round 1 from the Streams of “Insurance Planning” and Wealth Management; and TOP 3 Winning Teams of Round 1 from the Stream of “Young Talent” are shortlisted to participate the Final Round: Video Presentation;
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