We believe that high quality and thorough compliance training is essential in office to develop a strong compliance culture within a fund management company. Interactive compliance training can also enhance internal communication between compliance officers and staff, thereby increasing business efficiency.
CompliancePlus offers a wide variety of training programs to meet each client’s specific needs. To ensure training purposes are achieved and are beneficial to our clients, we offer diversified training formats which include in-house training, off-site guest speaking appointment, small group discussions, individual coaching, case studies for team building and knowledge sharing etc.
Our training programs include, but are not limited to the following:
- Online Compliance Training with CPT certificates awarded after completion
- Seminar on SFC REVISED Fund Manager Code of Conduct
- Training Program on Hong Kong Retail Funds Authorizations and related compliance requirements
- Marketing and Advertising Materials Compliance to Sales and Marketing staff
- Regulatory knowledge updating to general staff or specifically to compliance staff to update them with the latest regulatory knowledge and requirements
- Selling practice training to sales staff
- New hire training
- Licensing filing and regulatory notification requirements to regulators
- Anti Money Laundering / Know Your Client training
- Other training topics are also available upon request