Hong Kong SFC Professional Investors Regime and Client Agreement Requirement on suitability under the SFC Code of Conduct (1 Hour) (English version)

HK$780

This training explains Hong Kong's Professional Investors Regime under the Securities and Futures Ordinance including the definitions, explaining types of Professional Investors (i.e. Institution, Corporate and Individual Professional Investors) and risks assessment needs to be conducted for different types of Professional Investors. 

This training will also explain the client agreement requirement on suitability under the SFC Code of Conduct. 

To complete the training, you are required to answer 10 questions in the Assessment Test at the end of the training and have 6 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 info@complianceplus.hk. Thank you.

Course curriculum

  • 1
    17. Hong Kong SFC Professional Investors Regime and Client Agreement Requirement on suitability under the SFC Code of Conduct
    • Step 1: Watch the Training Video
    • Step 2: Take Online Assessment (Passing Grade 60%)(Answered 6 questions correctly out of 10 questions)
    • Step 3: Complete Course Evaluation (Required by the Law Society of Hong Kong for CPD course, you may skip this part for SFC CPT course)(Please note that overall rating of the Course may be posted on Law Society website)
    • Step 4: Download your certificate