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最新消息 活動預告

28
7月 2026
(星期二)

HKU SPACE & TMA Treasury Management Webinar: Good Practices for Managing Risk in Institutional Trading Activities

相關學科
金融法規

日期及時間
2026年7月28日 (星期二)13:30 - 14:00
活動形式
網上參與
網上平台
Zoom
費用
免費入場
講者
  • David Ngai (Alternate Chief Executive, Hong Kong Managing Director, Markets, Apac Head of Compliance State Street Bank and Trust Company)
David Ngai

David Ngai

David Ngai is the Managing Director at State Street Bank and Trust Company, overseeing Compliance practice in the Asia-Pacific region for Markets, and serving as Alternate Chief Executive for the Hong Kong Branch. On top of governance, David is also responsible for the managing of the relationships with the Regulators and Central Banks from Market Infrastructure, and Supervisory perspective. Previously, he was Managing Director for the Asia Pacific Global FX Division of the Global Financial Markets Association, representing major international banks engaging with Regulators and Central Banks on FX market practices, and transparency requirements such as the FX Global Code. David holds a Master’s degree in Public Administration and Development from the University of Birmingham, is a qualified accountant, and has regulatory and regional compliance managerial experience from the Hong Kong Securities and Futures Commission’s Enforcement Division, and other globally systemic important banks for both Equity and FICC markets.

查詢
28678392 (amy.fung@hkuspace.hku.hk)
相關課程
Postgraduate Certificate in Banking and Corporate Treasury Management

Good practices for managing risk in institutional trading activities start with strong governance: a clearly defined risk appetite, approved trading mandates, and independent oversight with effective segregation of duties between front, middle, and back office. 

Language: Cantonese

Key outlines:

  • What are the key areas that management should be mindful of during their oversight of institutional trading activities; and
  • What are the regulator’s general expectations in this regard?