Hong Kong Securities and Futures Commission introduced Electronic Trading Regulations in January 2014 that apply to SFC licensed corporations who provide and/or use electronic trading systems or facilities.
This training is useful to anyone who wants to know about the detailed requirements on this area and the detailed internal processes and controls that can be in place to reduce any risks of electronic trading that may cause to markets or to their companies.
This training covers key areas below:
- providing an overview and background of the electronic trading regulation introduced by the SFC in 2014
- explaining specific compliance requirements on electronic trading system providers and users
- explaining SFC detailed recommendations to reduce IT hacking risks and to mitigate risks relating to electronic trading systems.
To complete the training, you are required to answer 8 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 firstname.lastname@example.org. Thank you.
- Step 1: Watch the Training Video
- Step 2: Take Online Assessment (Passing Grade: 75%)(Answered 6 questions correctly out of 8 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 that the overall rating of the Course may be posted on Law Society website)
- Step 4: Download your certificate