Presentation For All SFC Licensed Corporations on Recent Regulatory Concerns

This 1 hour presentation is about some recent regulatory concerns for all SFC licensed corporations with our observations and market insight on key areas below:  

A. Regulatory Ongoing Requirements Related

• Licensing Application
• Change of Shareholding / Shareholders
• Surrender of SFC licenses
• CPT Training
• Others –SFC Circular to licensed corporations engaged in asset management business –Deficiencies and substandard conducted noted in the management of private funds and discretionary accounts (issued on 9 Oct 2024)

B. Financial Related

• FRR Monitoring
• Revised FRR Form
• FATCA
• AEOI

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 [email protected]. Thank you.