The Hong Kong fund management industry has seen launches of various sizes, strategies, and structures over the past decade. While fund formation and launch are exciting milestones, what happens next? Who ensures ongoing compliance, mitigates risks, and keeps regulatory obligations on track? Too often, post-launch gaps emerge—leading to compliance deficiencies and operational risks.
In this 1 hour course, we will break down the ongoing requirements for maintaining compliance as an SFC-licensed corporation managing OFCs and LPFs. Gain valuable insights into risk management, regulatory obligations, and key considerations for using the SFC e-IP Portal to uphold compliance and safeguard your firm's future.
Key Topics Covered:
Part 1: Market Landscape & Fund Formation (OFC & LPF)
Part 2: Post-Fund Launch – Key Issues & Compliance Considerations
Part 3: Ongoing Obligations, Filings & Fund Documentation Maintenance for OFC & LPF
Part 4: SFC e-IP Portal – Functionality & Key Points
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 [email protected]. Thank you.