Hong Kong SFC Revised Code on Unit Trusts and Mutual Funds (Revised UT Code) (1 Hour) (English Version)


The Securities and Futures Commission issued its consultation conclusion on proposed amendments to the Code on Unit Trusts and Mutual Funds (UT Code) on 6 Dec 2018 while the changes were effective on 1 January 2019.

This online training provides an overview of the requirements of the Revised UT Code and highlights the changes under the revamped code. The areas covered include, inter alia: 

- Different specialized schemes

- Management Company

- Trustee / Custodian

- Investment Core Requirement

- Offering Document/ KFS Disclosure

- Ongoing Compliance

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
    Hong Kong SFC Revised Code on Unit Trusts and Mutual Funds (Revised UT Code)
    • 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