Compliance Training on Operational Risks of SFC Licensed Asset Management Companies (1 Hour) (English version)

HK$780

This training focuses on 10 main operational risks of asset management companies and offers recommendations to properly address them. There is also a part dedicated to case analyses on operational failures of financial companies that fund managers should take heed of. Moreover, the SFC’s latest views on operational risk management will be introduced to keep the fund managers updated as to the regulator’s requirements.


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
    12. Compliance Training on Operational Risks of SFC Licensed Asset Management Companies
    • Step 1: Watch the Training Video
    • Step 2: Take Online Assessment (Passing Grade: 60%)(Answer 6 questions correctly out of 10 questions)
    • Step 3: Download your certificate