Courses
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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 (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 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), 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), SFC Reporting and Filing Series, Type 4 Regulated Activities Related
Record Keeping Requirements for SFC licensed corporations under the Securities and Futures Ordinance
