Hong Kong · Since 2023

Anchored in the Greater Bay Area.
Empowering asset
& wealth management.

The Hong Kong Asset and Wealth Management Institute (HKAWM) is a professional organisation that brings together senior practitioners across Hong Kong's asset and wealth management sector — built on professionalism, driven by service, powered by innovation.

About the Institute

Built on professionalism.
Driven by service.
Powered by innovation.

The Hong Kong Asset and Wealth Management Institute (HKAWM) is a professional organisation officially established in Hong Kong on 30 January 2023. Founded by senior practitioners across the territory's asset and wealth management sector and adjacent fields, the Institute is committed to deepening engagement in the Guangdong-Hong Kong-Macao Greater Bay Area, advancing professional capacity-building and serving the broader development of the industry.

2023

Year of establishment

100+

Licensed professional members

Guangdong · HK · Macao

Greater
Bay Area

Strategic regional focus

Vision

Three directions
driving the industry forward

Elevating professional standards

Raising the bar of professional competence across the industry, fostering innovation, and pursuing excellence through continuous training and shared expertise.

Driving digital transformation

Advancing the industry's transition towards intelligent, digital-native operations — reshaping how asset and wealth management services are delivered.

Connecting the region

Building a two-way bridge between Hong Kong, mainland China and the broader Asia-Pacific — enabling cross-border collaboration and capital flows.

Core Values

Four principles. One shared compass.

Professionalism

Grounded in deep expertise. Upholding the highest standards in the industry.

Innovation

Embracing change. Meeting industry challenges with new thinking and tools.

Openness

Connecting industry, academia and regulators across diverse perspectives.

Integration

Bridging the GBA and beyond. Building new frameworks for industry collaboration.

Online Learning

HKAWM
Learning Platform

Course content is developed by industry experts and presented by AI — professional, consistent and available on demand. Coverage spans the SFC's Type 1–13 regulated activities, alongside ethics & compliance, virtual assets, fintech and ESG. With H5P interactive video, knowledge assessments and digital certificates, the platform offers practitioners a structured, professional path for continuing development.

Expert content, AI-presented

Authored by industry experts, presented by AI

Interactive Video

H5P interactive lessons

Digital Certificates

Issued upon completion

Progress Tracking

Personalised learning path

Course areas · Mandarin & Cantonese

Core

Ethics Regulatory framework & compliance AML/CFT Risk management

Regulated activities (SFC Type 1–13)

Securities dealing & brokerage (RA1) Futures & derivatives (RA2/5) Leveraged FX trading (RA3) Securities & investment advisory (RA4) Corporate finance, IPO sponsorship & takeovers (RA6) Automated trading services (RA7) Securities margin financing (RA8) Asset management & funds (RA9) Credit rating services (RA10) OTC derivatives (RA11/12) Depositary & custody (RA13)

Virtual assets

VA regulatory framework Web3, DeFi & tokenisation Stablecoin & CBDC VA AML/CFT

Specialist

Fintech Cybersecurity & IT ESG & sustainable finance

Skills

Management & leadership Customer service & communication

By the Numbers

HKAWM at a Glance

100+

Licensed professional members

60+

Licensed firms represented

670+

Cumulative learning hours

RO / LR split (licensed individuals)

80% RO
Responsible Officers (RO) ~80% Licensed Representatives (LR) ~20%

Members' SFC licence coverage

Type 4 – Advising on securities 72%
Type 9 – Asset management 71%
Type 1 – Dealing in securities 64%
Type 2 – Dealing in futures contracts 6%
Type 6 – Advising on corporate finance 4%

Members may hold multiple regulated-activity licences

Licence Check

Not sure of your own or your firm's CE number?

Search the SFC Public Register of Licensed Persons and Registered Institutions by name or company name.

Search the SFC Public Register

You will be redirected to the SFC's official website; numbers and details are subject to the SFC's records.

News & Activities

Tracks across
the Greater Bay Area

View all activities

2024 · Industry Exchange

Shenzhen-Hong Kong Financial Industry Exchange

Industry-level exchange on financial innovation, business education and corporate services — exploring multi-faceted dialogue on cross-border financial cooperation between Shenzhen and Hong Kong.

2024 · Hosted by HKAWM

Cross-border Investment & Financing Senior Talent Programme

Aligned with the "Wealth Management Connect 2.0" framework — convening senior practitioners and academic experts to develop a new generation of cross-border financial professionals.

2024 · Industry Exchange

Cross-border Fund Investment Forum

In-depth discussion on the frontier of cross-border fund collaboration — observing developments in interconnection between the two markets' fund industries.

2024 · Policy Exchange

Family Office Policy Exchange

Joining mainland family office practitioners to learn about Hong Kong's latest family office policies — building two-way communication channels.

2024 · Industry Activity

Wealth Management Centre Inauguration

Attending an important industry milestone, engaging in dialogue around resource integration and service collaboration in the GBA wealth management sector.

2023 · Industry Activity

GBA Venture Capital Industry Exchange

Participating in venture capital sector activities across the GBA, extending the Institute's industry observation network to broader financial centres.

Contact

Let's build the next
chapter together.

Whether for industry collaboration, membership, media or general enquiries, we'd be glad to hear from you.

Address

3/F., Golden Gate Commercial Building,
136-138 Austin Road, Tsim Sha Tsui,
Kowloon, Hong Kong

香港九龍尖沙咀柯士甸道 136-138 號 金門商業大廈 3 樓