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Understand the requirements of licensees under SFC
1 hr
HK$600
Document handling and requirements between Clients
How to deal with Client assets
Electronic trading & other trading platforms
Analyzing recent SFC Enforcement Cases
Laundering method, reporting system,Internal supervision
Requirement, duties and liabilities of Officers
Securities and Futures (Financial Resources) Rules
Securities and Futures (Client Securities) Rules
Securities and Futures (Client Money) Rules
Formation of a Type 1 license corporation SFC
Formation of a Type 1 license corporation HKEX
intermediary and licensed individual information
Accountability and duties of Manager-in-charge
Fund Manager Code of Conduct
Committee on Real Estate Investment Trusts rules
Rules of open-ended fund company
Code on Immigration-Linked Investment Schemes
About Reporting short selling
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