Record Keeping Requirements for SFC Licensed Corporations under the Securities and Futures Ordinance (0.5 hour) HK$400 (English Version)

This course explains the general record keeping requirements and obligations, record retention period for SFC Licensed Corporations in Hong Kong under the Securites and Futures Ordinance and the Securities and Futures (Keeping of Records) Rules and the SFC Circular about the Use of External electronic data storage.

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 Thank you.

Course curriculum

  • 1
    Record Keeping Requirements for SFC licensed corporations under the Securities and Futures Ordinance
    • Step 1: Watch the Training Video
    • Step 2: Take Online Assessment (Passing Grade: 60%)(Answered 3 questions correctly out of 5 questions)
    • Step 3: Download your certificate