Ethical Performance Reporting and Marketing for Fund Managers

This training is about ethical reporting and marketing of performance data that includes the following topics: 

1. OVERVIEW

Overview on Ethical Performance Reporting 

This part will discuss about Industry Standards and challenges and some overseas enforcement cases of violation of marketing rules by fund managers and the importance of transparent reporting .

2. GIPS STANDARDS

Overview on GIPS (Global Investment Performance Standards), advantages and challenges 

Global Investment Performance Standards (GIPS) are a set of voluntary standards introduced by the CFA Institute that are used by investment managers throughout the world to ensure the full disclosure and fair representation of their investment performance. 

GIPS are a "set of standardized, industry-wide ethical principles guiding firms on how to calculate and present their investment results to prospective clients. 

3. PROMOTION & MARKETING

SFC’s perspective on ethical marketing and case studies

This part will include some marketing case studies and explanation of the fund performance and marketing requirements under the SFC Fund Manager Code of Conduct and the specific fund performance requirements of SFC Advertising Guidelines for Collective Investment Schemes Applicable SFC Authorized Funds (i.e. commonly known as retail funds for retail investors in Hong Kong).

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.