Courses
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Fund Manager Series, 普通话课程, Type 9 Regulated Activities Related, All Regulatory Compliance Courses (Introduced in 2023)
Compliance Kick Off Online Training (Chinese Version)
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Cyber Security Series
Compliance Issues and Cyber Security Risks in the Digital Era
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT)
Compliance Training on Operational Risks of SFC Licensed Asset Management Companies
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Law Soc CPD Courses (1 CPD), Fund Manager Series, Type 9 Regulated Activities Related
Compliance Training on SFC Revised Fund Manager Code of Conduct - How to Prepare Compliance Manual and Policies to ensure Compliance
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Law Soc CPD Courses (1 CPD), Type 1 Regulated Activities Related, Type 6 Regulated Activities Related
Market Misconduct under the Securities and Futures Ordinance
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Law Soc CPD Courses (1 CPD), Type 1 Regulated Activities Related, Type 4 Regulated Activities Related
Hong Kong SFC Professional Investors Regime and Client Agreement Requirement on suitability under the SFC Code of Conduct
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Fund Manager Series, Type 9 Regulated Activities Related
Hong Kong SFC Revised Code on Unit Trusts and Mutual Funds (Revised UT Code)
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), SFC Reporting and Filing Series, Type 1 Regulated Activities Related
Update about SFC Revised Financial Resources Rules (FRR)(April 2019)
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Type 4 Regulated Activities Related
Introduction of SFC Guidelines on Online Distribution & Advisory Platforms and Offline Requirements Applicable to Complex Products
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Fund Manager Series, Type 9 Regulated Activities Related
Introduction to Hong Kong Open-ended Fund Companies Regime
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Fund Manager Series
Multi-Topic Practical Pointers to Stay Compliant as SFC Licensed Firms Operating as Multi-Family Offices, External Asset Managers (EAM) and Wealth Managers
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), AML Series
SFC 2020 Consultation Paper on Proposed Amendments to the AML/CFT Guideline
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Fund Manager Series, Type 1 Regulated Activities Related
SFC Inspection - Getting Prepared for The FINAL TRIAL
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT)
The Rise of Robo-Advisor: The Hype VS The Reality
-
All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Fund Manager Series, Type 9 Regulated Activities Related
Virtual Assets related Compliance Requirements to SFC Licensed Asset Managers
