Courses
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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)
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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
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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
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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
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All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), AML Series
SFC 2020 Consultation Paper on Proposed Amendments to the AML/CFT Guideline
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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
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All Regulatory Compliance Courses, SFC CPT Courses (1 CPT)
The Rise of Robo-Advisor: The Hype VS The Reality
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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
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All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Fund Manager Series, US SEC Series
Overview on the US SEC Examination Regime
