Online Training of SFC Manager-In-Charge Regime (2024 edition)

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

This comprehensive training program is designed for individuals seeking to gain a thorough understanding of the SFC Manager-In-Charge Regime implemented in April 2017. With over 10,000 individuals appointed as Manager-In-Charge, this training is highly relevant and beneficial.

Key Areas Covered:

1. Introduction to the SFC Manager-In-Charge Regime:

• Overview of the purpose, scope, and objectives of the regime.

2. Compliance Requirements for Manager-In-Charge Roles and Duties:

• In-depth exploration of the compliance obligations associated with the role of Manager-In-Charge in an SFC licensed corporation.

3. Controls and Processes for Effective Implementation:

• Examination of the controls and processes necessary to ensure the proper and effective implementation of the regime within an SFC licensed corporation.

4. SFC Notification Requirements:

• Detailed review of the notification requirements related to the SFC Manager-In-Charge Regime.

Benefits of Attending:

• Gain a comprehensive understanding of the SFC Manager-In-Charge Regime and its implications for SFC licensed corporations.

• Enhance your knowledge of the compliance requirements, roles, and duties of the Manager-In-Charge.

• Learn about the controls and processes necessary for effective implementation.

• Stay informed about the SFC's expectations and notification requirements.

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.