Online CPD Courses
We are proud to present you our online CPD courses which are accredited by the Law Society of Hong Kong to fulfill your ongoing CPD requirements for your legal profession. You would be awarded a CPD certificate after you have passed an assessment test upon completion of the online course.
Available courses:
1. Online Training of SFC Manager-In-Charge Regime (1 CPD point)
This training elaborates the new SFC Manager-In-Charge Regime and the compliance requirements on role and duties of the Manager-In-Charge in a SFC licensed corporation and the controls and process in place to ensure proper and effective implementation of the new SFC Manager-In-Charge Regime in a SFC licensed corporation.
This training covers areas below:
- Introduction about the SFC Manager-In-Charge Regime
- Compliance requirements on role and duties of the Manager-In-Charge in a SFC licensed corporation
- Controls and process in place to ensure proper and effective implementation of the new SFC Manager-In-Charge Regime in a SFC licensed corporation
- SFC notification requirements about the SFC Manager -In-Charge Regime
Price: HKD 780
2. Online Training on Insider Dealing Compliance Issues and Cases (1 CPD point)
This training summarizes the legal definitions of insider dealing under the Securities and Futures Ordinance and provides examples of inside information and practical measures in preventing insider dealing etc. This training will also go into details of over 10 recent insider dealing cases and enforcement actions in Hong Kong and overseas to enhance compliance awareness on this area.
This training cover key areas below:
- Summarizing the legal definitions of insider dealing under the SFO
- Providing examples of inside information and practical measures in preventing insider dealing
- Explaining details of over 10 recent insider dealing cases and enforcement actions in Hong Kong and overseas to enhance compliance awareness on this area
- Explaining defences to Insider Dealing charges available under the SFO
Price: HKD 780
3. Online Training on SFC Electronic Trading Regulation (0.5 CPD point)
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.
Price: HKD 400
4. SFC Financial Related Returns & Filing and FRR Compliance Knowledge (0.5 CPD point)
In Hong Kong, all SFC licensed corporations need to comply with the Financial Resources Rules as required by the SFC that regular financial returns and filings must be made to the SFC regarding the financial situation of their companies.
This online training provides :
- A basic understanding on SFC Financial Related Returns & Filing
- Financial Resources Rules (FRR) compliance requirements and obligations relating to SFC licensed corporations
- Core compliance requirements under the FRR and notifications and obligations to the SFC that are important and crucial to SFC licensed corporations and SFC licensed persons.
Price: HKD 400
More courses coming soon ….. Stay tuned!