This training is a brief study of recent SFC enforcement actions in 2023 -2024 with some case studies and enforcement actions statistics. Case studies sample include areas of below:
-Market Misconducts
-Insider Dealing
-Unlicensed Activities
-Breaches of Anti-Money Laundering regulatory requirements
To complete the training, you are required to answer 5 questions in the Assessment Test at the end of the training and have 3 questions answered correctly. Prior to taking the Assessment Test, you must watch the entire training video. Failure to do so may lead to cancellation of your Certificate of Completion.
**Please note that you are required to create an account with Thinkific, our Learning Management platform. Your Certificate of Completion will be issued using the name used to create the account. Therefore, please ensure that your official name is used when creating the account on Thinkific.**
For any queries, please email us at [email protected]. Thank you.