Courses
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All Regulatory Compliance Courses, SFC CPT Courses (0.5 CPT), Fund Manager Series, Type 1 Regulated Activities Related, Type 4 Regulated Activities Related, Type 6 Regulated Activities Related, Type 9 Regulated Activities Related, All Regulatory Compliance Courses (Introduced in 2024)
A Brief Study of Recent SFC Enforcement Actions 2023 - 2024
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All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Type 1 Regulated Activities Related, Type 6 Regulated Activities Related, All Regulatory Compliance Courses (Introduced in 2024)
Online Training of SFC Manager-In-Charge Regime (2024 edition)
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All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Type 1 Regulated Activities Related, All Regulatory Compliance Courses (Introduced in 2024)
Online Training on Insider Dealing Compliance Issues and Cases (2024 edition)
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All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Type 1 Regulated Activities Related, Type 9 Regulated Activities Related, All Regulatory Compliance Courses (Introduced in 2024)
Capturing the opportunities of the New Capital Investment Entrant Scheme (CIES) - Compliance Points to note
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All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Fund Manager Series, Type 1 Regulated Activities Related, Type 9 Regulated Activities Related, All Regulatory Compliance Courses (Introduced in 2024)
A Comprehensive Guide to the Professional Investors Regime and Recent Changes
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All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), AML Series, Fund Manager Series, SFC Reporting and Filing Series, Type 1 Regulated Activities Related, Type 4 Regulated Activities Related, Type 9 Regulated Activities Related, All Regulatory Compliance Courses (Introduced in 2023)
Walk Through the SFC Latest Business and Risk Management Questionnaire (BRMQ)
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All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Fund Manager Series, Type 1 Regulated Activities Related, Type 9 Regulated Activities Related, All Regulatory Compliance Courses (Introduced in 2023)
Marketing Materials Review Skills Training
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All Regulatory Compliance Courses, SFC CPT Courses (0.5 CPT), Cyber Security Series, Type 1 Regulated Activities Related
How should SFC licensed corporations manage Cybersecurity Risks?
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All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), AML Series, Type 1 Regulated Activities Related
SFC Guideline on Anti-Money Laundering and Counter-Financing of Terrorism (For Licensed Corporations) (Nov 2018): A Consolidation of all Bits and Pieces
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All Regulatory Compliance Courses, SFC CPT Courses (0.5 CPT), Law Soc CPD Courses (0.5 CPD), Type 1 Regulated Activities Related, Type 6 Regulated Activities Related
Compliance Online Training on Regulatory Inspection
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All Regulatory Compliance Courses, SFC CPT Courses (0.5 CPT), Law Soc CPD Courses (0.5 CPD), Type 1 Regulated Activities Related
Online Training on SFC Electronic Trading Regulation
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All Regulatory Compliance Courses, SFC CPT Courses (0.5 CPT), Type 1 Regulated Activities Related, Type 4 Regulated Activities Related
Compliance Training on How to Avoid Product Mis-selling
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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
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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
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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)
