Multi-Topic Practical Pointers to Stay Compliant as SFC Licensed Firms Operating as Multi-Family Offices, External Asset Managers (EAM) and Wealth Managers (English Version)

HK$780

We see more demands for Multi-Family Offices, External Asset Managers services in the past few years. This presentation will cover topics below:

1. How to ensure regulatory compliance in relation to cross-border business activities while adhering to the legal and regulatory requirements of Hong Kong?

2. How to comply with SFC account opening requirements when onboarding clients non-face-to-face?

3. How to stay compliant when receiving commissions from brokers, product issuers, and other third parties?

4. How to avoid conflicts of interests under different scenarios such as carrying multiple licenses, personal dealing, asset allocation, etc?

This course is particularly suitable for compliance officers, operation managers, responsible officers, Manager In Charge of these SFC licensed companies to attend.

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
    Multi-Topic Practical Pointers to Stay Compliant as SFC Licensed Firms Operating as Multi-Family Offices, External Asset Managers (EAM) and Wealth Managers
    • Step 1: Watch the Training Video
    • Step 2: Take Online Assessment (Passing Grade: 60%)(Answered 6 questions correctly out of 10 questions)
    • Step 3: Download your certificate