Compliance Training on SFC Revised Fund Manager Code of Conduct - How to Prepare Compliance Manual and Policies to ensure Compliance (1 Hour)

HK$780

This online training provides a detailed briefing about the Revised Fund Manager Code of Conduct (to be effective from November 2018) that covers areas below:

- Key changes of the Revised Fund Manager Code of Conduct guiding you in updating Compliance Manual to ensure compliance 

- Detailed steps and points to note on how to prepare policies required under the Revised Fund Manager Code of Conduct(1) Risk Management Policy, (2) Liquidity Management Policy and Procedures (3) Valuation Policy and (4) Securities Lending, Repo and Reverse Repo Policy

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
    15. Compliance Training on SFC Revised Fund Manager Code of Conduct - How to Prepare Compliance Manual and Policies to ensure Compliance
    • Step 1: Watch the Training Video
    • Step 2: Take Online Assessment (Passing Grade: 60%)(Answered 6 questions out of 10 questions correctly)
    • 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 overall rating of the Course may be posted on Law Society website)
    • Step 4: Download your certificate