Jin Rong Jie·2025-12-30 08:05Core Insights - The event highlighted the importance of compliance management as a "booster" for capital markets and a "firewall" for financial institutions, emphasizing its core value in the current regulatory framework [3] - The courses provided practical insights into wealth management and asset allocation for high-net-worth clients, showcasing the need for personalized services and strategic asset allocation methods [5][7] Group 1: Compliance Management - The course on compliance management discussed the critical compliance risk points in wealth management, including issues related to securities brokerage, financial product distribution, and investment advisory services [3] - Real regulatory and judicial cases were used to illustrate key compliance risks such as "promising investment returns" and "failure in suitability management" [3] Group 2: High-Net-Worth Client Asset Allocation - The course on high-net-worth clients emphasized the personalized nature of their needs and the necessity for one-on-one advisory services [5] - A "five-step" asset allocation process was detailed, which includes defining financial planning, setting risk-return objectives, determining asset class proportions, bottom-up asset selection, and ongoing portfolio management [5] - The presentation highlighted the strengths of the Oriental Securities asset allocation team, which includes macro research, quantitative models, and a comprehensive coverage of public and private funds [5]