In this 1-hour webinar, we will explore actual case studies from recent regulatory inspections. Learn how licensed corporations were assessed, what triggered key findings, and how to avoid common pitfalls that could jeopardize your firm’s compliance standards.
This 1-hour webinar is divided into 3 parts below:
Part 1 – Introduction and statistics of SFC routine inspection
Part 2 – Different stages of SFC routine inspection and key point takeaway
Part 3 – Some common findings/keywords from SFC inspection findings
To complete the training, you are required to answer 6 questions in the Assessment Test at the end of the training and have 10 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.