Fund Launch Preparation, Fundraising, Investment & Key Compliance Points

This 1 Hour Training Course equips asset managers, compliance officers, and fund executives with practical knowledge of Hong Kong’s SFC regulatory requirements for fund launch and fundraising. Using real case studies and inspection findings, participants will gain regulator-ready insights into fund structuring, investor onboarding, investment decision-making, and conflict-of-interest management.

Key Learning Outcomes:

• Understand the Limited Partnership Fund (LPF) structure and compliance obligations under the SFC framework.

• Master fundraising discipline: marketing material approvals, PI assessment, AML/KYC onboarding.

• Apply robust investment decision and record-keeping standards to meet FMCC requirements.

• Identify and manage conflicts of interest including allocation, cross trades, related-party transactions, and personal dealing.

• Learn from SFC case studies on inspection failures and disciplinary actions.