Online Training on SFC Manager-In-Charge Regime (1 Hour) (English version)


Hong Kong Securities and Futures Commission (SFC) introduced Manager-In-Charge regime in April 2017 to all SFC licensed corporations in Hong Kong. 

This training will be very helpful to anyone who wants to understand the compliance requirements, impact of the Manager-In-Charge Regime on SFC licensed corporations and the roles and duties as there are over 10,000 individuals have been appointed as Manager-In-Charge.

This training covers areas below: 

- Introduction about the SFC Manager-In-Charge Regime 

- Compliance requirements on role and duties of the Manager-In-Charge in a SFC licensed corporation 

- Controls and process in place to ensure proper and effective implementation of the new SFC Manager-In-Charge Regime in a SFC licensed corporation

- SFC notification requirements about the SFC Manager -In-Charge Regime

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 Thank you.

Course curriculum

  • 1
    Online Training of SFC Manager-In-Charge Regime
    • Step 1: Watch the Training Video
    • Step 2: Take Online Assessment (Passing Grade: 60%)(Answer 6 questions correctly out of 10 questions)
    • 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 overall rating of the Course may be posted on the Law Society website)
    • Step 4: Download your certificate