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Code of Conduct for Licensees I
Understand the requirements of licensees under SFC
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Service Information1 hr
600 Hong Kong dollars
Code of Conduct for Licensees II
Document handling and requirements between Clients
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Service Information1 hr
600 Hong Kong dollars
Code of Conduct for Licensees III
How to deal with Client assets
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Service Information1 hr
600 Hong Kong dollars
Conduct for Licensees IV
Electronic trading & other trading platforms
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Service Information1 hr
600 Hong Kong dollars
Analyzation of SFC Enforcement Cases I
Analyzing recent SFC Enforcement Cases
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Service Information1 hr
600 Hong Kong dollars
Analyzation of SFC Enforcement Cases II
Analyzing recent SFC Enforcement Cases
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Service Information1 hr
600 Hong Kong dollars
AntiMoney Laundering and Counter-Terror
Laundering method, reporting system,Internal supervision
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Service Information1 hr
600 Hong Kong dollars
Duties and Liabilities of Officers
Requirement, duties and liabilities of Officers
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Service Information1 hr
600 Hong Kong dollars
S&F (Financial Resources) Rules
Securities and Futures (Financial Resources) Rules
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Service Information1 hr
600 Hong Kong dollars
S&F (Client Securities) Rules
Securities and Futures (Client Securities) Rules
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Service Information1 hr
600 Hong Kong dollars
S&F (Client Moneys) Rules
Securities and Futures (Client Money) Rules
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Service Information1 hr
600 Hong Kong dollars
Formation of a Type 1 license 1 - SFC
Formation of a Type 1 license corporation SFC
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Service Information1 hr
600 Hong Kong dollars
Formation of a Type 1 license 1 - HKEX
Formation of a Type 1 license corporation HKEX
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Service Information1 hr
600 Hong Kong dollars
Licensing and Registration Rules
intermediary and licensed individual information
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Service Information1 hr
600 Hong Kong dollars
Accountability of Manager-in-charge
Accountability and duties of Manager-in-charge
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Service Information1 hr
600 Hong Kong dollars
Fund Manager Code of Conduct
Fund Manager Code of Conduct
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Service Information1 hr
600 Hong Kong dollars
Committee on Real Estate Investment
Committee on Real Estate Investment Trusts rules
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Service Information1 hr
600 Hong Kong dollars
Rules of OFC
Rules of open-ended fund company
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Service Information1 hr
600 Hong Kong dollars
Immigration-Linked Investment Schemes
Code on Immigration-Linked Investment Schemes
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Service Information1 hr
600 Hong Kong dollars
Reporting of short selling
About Reporting short selling
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Service Information1 hr
600 Hong Kong dollars

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