Courses
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All Regulatory Compliance Courses, SFC CPT Courses (1 CPT), Fund Manager Series, Type 9 Regulated Activities Related, All Regulatory Compliance Courses (Introduced in 2023)
Compliance Kick Off Online Training
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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)
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All Regulatory Compliance Courses, SFC CPT Courses (0.5 CPT), Law Soc CPD Courses (0.5 CPD), Fund Manager Series, Type 9 Regulated Activities Related
Compliance Training on SFC Revised Fund Manager Code of Conduct - Key Areas of Changes and Dos and Don't's on Compliance
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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), 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 (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), 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 (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), 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), 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
