Recent Trends and Focuses of SFC Regulatory Inspections, and Preparation Tips You Should Know (2023)

HK$780 (1 hour)(English Version)

New Course introduced in 2023

Regulator may conduct inspections on licensed corporations and it is important for them to get prepared. In this training, we will share with you our latest research insights, findings and observations of recent trends and focuses of SFC regulatory inspections in 2023 as our sharing with the industry that the training will be divided into following parts: 

  • Topic 1: OVERVIEW OF SFC’S INSPECTION PRACTICE
  • Topic 2:  SCOPE OF ROUTINE INSPECTION
  • Topic 3: NEW REGULATORY FOCUSES (2023)
  • Topic 4: HOW TO GET PREPARED AND AVAILABLE COMPLIANCE RESOURCES


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.

 

Course Curriculum

  • 1
    Recent Trends and Focuses of SFC Regulatory Inspections, and Preparation Tips You Should Know (2023)
    • 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