Courses
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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
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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), Fund Manager Series, Type 9 Regulated Activities Related
Hong Kong SFC Revised Code on Unit Trusts and Mutual Funds (Revised UT Code)
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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 (0.5 CPT), Fund Manager Series
Hong Kong SFC OTC Derivatives Regime - New Requirements in relation to OTC Derivative Risk Mitigation
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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 (0.5 CPT), SFC Reporting and Filing Series, Type 4 Regulated Activities Related
Record Keeping Requirements for SFC licensed corporations under the Securities and Futures Ordinance
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All Regulatory Compliance Courses, SFC CPT Courses (0.5 CPT), Fund Manager Series, Type 9 Regulated Activities Related
SFC Proposed Expanded Type 9 Licensing Regime
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All Regulatory Compliance Courses, SFC CPT Courses (0.5 CPT), AML Series
SFC Anti-Money Laundering and Counter-Financing of Terrorism – Foundation Training
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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, AML Series, SFC CPT Courses (1.5 CPT)
Anti-Money Laundering Training for Hong Kong SFC Licensed Persons, Insurance Authority’s Licensed Persons and Trust & Company Service Provider License Holder
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All Regulatory Compliance Courses, AML Series, SFC CPT Courses (1.5 CPT)
High risk vs Low risk? – Walking through the AML/CFT Risk Assessment Process
