Introduction to Ethics From the perspective of the SFC

As part of the training of our new Ethics Series, this course will explain areas below:

• SFC's general principles on ethics with contextual background of general principles under the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission such as the principles of honesty and fairness, diligence, avoiding conflicts of interests; 
• SFC's regulatory perspective on ethical characteristics 
• Real case analysis and application of ethical framework in decision making process when carrying out SFC regulated activities by the SFC licensed persons 

This training can enhance awareness of the SFC licensed persons as to SFC's standard and ethical characteristics required when carrying out regulated activities. 

The real case analysis with case studies and examples are particularly helpful to newly SFC licensed persons for them to make good and sound professional judgement to ensure that their regulated activities are in compliance with basic principles as stipulated in the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission.

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 [email protected]. Thank you.