Compliance Online Training on Regulatory Inspection (0.5 Hour) (English version)


This online training explains the SFC’s supervision approaches on intermediaries and types of regulatory inspections on SFC licensed corporations to understand the focus and objectives of different types of regulatory inspection. 

This online training includes practical tips on getting prepared for regulatory inspections and details of SFC thematic inspections on hedge fund managers and their findings on compliance deficiency of some hedge fund managers.

To complete the training, you are required to answer 8 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 Thank you.

Course curriculum

  • 1
    Compliance Online Training on Regulatory Inspection
    • Step 1: Watch the Training Video
    • Step 2: Take Online Assessment (Passing Grade: 75%)(Answered 6 questions correctly out of 8 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 rating of the Course may be published in Law Society website)
    • Step 4: Download your certificate