SFC Proposed Expanded Type 9 Licensing Regime (0.5 hour) (English Version)


This course explains the details of the SFC proposed expanded Type 9 Regulated Activity ("RA") licensing regime in which the current Type 9 RA licence is expected to be expanded to include providing the service of managing a portfolio of OTC derivative products for another person. However, this licensing regime has yet been implemented and it is currently pending for further notice from the SFC regarding the implementation date. 

If you would like to first get prepared for this proposed licensing regime, this training will be a good introduction for you to understand the expanded Type 9 licensing regime and this training presentation will go through the following content:

  • Introduction to SFC OTC Derivatives Regulatory Regime
  • Scope and Exemptions of SFC Expanded Type 9 RA
  • SFC Expanded Type 9 Transitional Arrangement
  • SFC Expanded Type 9 Applicant Criteria and RO Qualification

To complete the training, you are required to answer 5 questions in the Assessment Test at the end of the training and have 3 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
    SFC Proposed Expanded Type 9 Licensing Regime
    • Step 1: Watch the Training Video
    • Step 2: Take Online Assessment (Passing Grade: 60%)(Answered 3 questions correctly out of 5 questions)
    • Step 3: Download your certificate