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The Profectional Newsletters
11 June 2018

Equity Crowdfunding #

Micro-Financing:
Peer-to-Peer Money Lending
#

Equity Crowdfunding Micro-Financing: Peer-to-Peer Money Lending

by
Mr. Albert So,
Practising Solicitor,
Certified Anti-Money Laundering Specialist,
Certified Financial Crimes Specialist,
Financial Dispute Resolution Centre Mediator,
Accredited General Mediator,
Accredited Family Mediator,
Arbitrator, University Lecturer,
Fellow of International Bar Association

by
Mr. Albert So,
Practising Solicitor,
Certified Anti-Money Laundering Specialist,
Certified Financial Crimes Specialist,
Financial Dispute Resolution Centre Mediator,
Accredited General Mediator,
Accredited Family Mediator,
Arbitrator, University Lecturer,
Fellow of International Bar Association

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Code: EVT000000218 Code: EVT000000220
Date: 12 June 2018 (Tuesday) (Amended) Date: 19 June 2018 (Tuesday) (Amended)
Time: 09:30 - 12:45
(Reception starts at 09:00)
Time: 09:30 - 12:45
(Reception starts at 09:00)
Venue: Kornerstone Institute
15/F, Hip Shing Hong Centre
55 Des Voeux Road Central
Central, Hong Kong
Venue: Kornerstone Institute
15/F, Hip Shing Hong Centre
55 Des Voeux Road Central
Central, Hong Kong
Level: Intermediate Level: Intermediate
Language: English Language: English
Accreditations: LSHK 3.0 CPD Points
SFC 3.0 CPT Hours
Accreditations: LSHK 3.0 CPD Points
SFC 3.0 CPT Hours
Admission: Standard Fee: HK$1,780.00
Please call 2116 3328 for details
and Group Discount
Admission: Standard Fee: HK$1,780.00
Please call 2116 3328 for details
and Group Discount
This course has been accredited by
The Law Society of Hong Kong
for 3 CPD Points, last chance,

register now!
This course has been accredited by
The Law Society of Hong Kong
for 3 CPD Points, last chance,

register now!
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and Registration Form
in Adobe Acrobat PDF
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and Registration Form
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and Registration Form
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and Registration Form
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Mr. Albert So

Mr. Albert So, practising solicitor of High Court of Hong Kong and the Chairman of Hong Kong Mediation and Arbitration Centre.  Over the past years, he has been responsible for handling financial crime prosecutions, and has also been the lecturer of various law and mediation programmes in Hong Kong and overseas universities.

Before Mr. So joined the legal profession, he had been one of the team members of a financial regulatory authority, responsible for conducting criminal investigation, handling litigation and disciplinary-related professional proceedings.  Throughout his professional time as a regulator, he had personally handled over 800 financial disputes and their relevant litigations.

Course Outline:

With the rapid development of the internet and social media, crowdfunding activities have emerged internationally and locally over the past few years.  Crowdfunding is an umbrella term describing the use of monetary contributions, obtained from a large number of individuals or organisations, to fund a project, a business, a company, a loan or a donation, and other needs through an online platform.

Equity crowdfunding (ECF) is a common type of crowdfunding activity where investors usually invest in a project or a business (often a start-up) through an online platform, typically in return for an interest in shares issued by a company.

A combination of interactive lectures, case studies, practical scenario trainings, role-play sessions, group discussion/sharing will be used in the seminar.  Upon the completion, participants should be able to acquire the necessary Fintech, corporate finance, legal, compliance and regulatory professional knowledge and identify the common issues to perform their daily duties effectively.

Topics to be covered include:

  • How does ECF work?
  • Risks associated with ECF
  • Risk of bankruptcy of the issuer
  • Liquidity risk/lack of secondary market liquidity for the equity investments
  • Risk of conducting unlicensed activities
  • How is ECF regulated in Hong Kong?
  • Disclosure risks
  • Risk of collapse, fraud or malpractice by the platform
  • Cross-border risk
  • Cyber security and Cyber-attacks
  • Illegal activities, fraud and money laundering
  • Legal issues and consideration for investors

Course Outline:

Peer-to-peer (P2P) lending is a type of micro-financing activity conducted through an online platform, by matching people who have money to invest with people who are looking for a loan.  Different forms of P2P lending have emerged, e.g. business lending and consumer (including student) lending.

A combination of interactive lectures, case studies, practical scenario trainings, role-play sessions, group discussion/sharing will be used in the seminar.  Upon the completion, participants should be able to acquire the necessary Fintech, corporate finance, legal, compliance and regulatory professional knowledge and identify the common issues to perform their daily duties effectively.

Topics to be covered include:

  • How does P2P lending work?
  • Risks associated with P2P lending
  • Default risk of the borrower
  • Credit risk
  • Liquidity risk/lack of secondary market liquidity for the loans
  • Risk of conducting unlicensed activities
  • How is P2P lending regulated in Hong Kong?
  • Disclosure risks
  • Risk of collapse, fraud or malpractice by the platform
  • Cross-border risk
  • Cyber security and Cyber-attacks, such as hacking, overloading a platform's infrastructure, confusing accounts, identity theft and/or stealing information including personal data
  • Illegal activities: fraud by parties making offers on the platform, money laundering or other illegal commerce that could lead to regulatory actions including suspension by relevant law enforcement agencies
  • Legal issues and concerns for investors

10% Off Special Discount: Enroll any 3 or more courses | Register a group of 3 or more
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SFC 3.0 CPT Hours
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Advanced Booking: HK$1,780.00
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55 Des Voeux Road Central, Central, Hong Kong
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Advanced Booking: HK$1,480.00
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