Online CPT Training
Now you can attend your CPT training online anytime anywhere and even on your smartphone or tablet! Please click here for CompliancePlus Online Training for more details! There are 17 online courses available.
This training provides an overview on the legal regime of AML and CTF laws in Hong Kong and details of the SFC Guidelines on Anti-Money Laundering and Counter-Terrorist Financing including concepts of money laundering, risk based approach in assessing customer’s risks, customer due diligence procedures, examples of suspicious transactions and reporting obligations of suspicious transactions and AML training requirements etc.
This training aims at highlighting some common ongoing compliance and deficiency relating to hedge fund managers and fund managers in their staffing arrangement, operations, SFC notifications obligations, compliance with SFC Financial Resources Rules etc. that can raise your awareness to avoid compliance breaches.
This online training provides a basic understanding on compliance requirements and obligations relating to SFC licensed asset management companies and fund managers. This training covers the core compliance requirements under the SFC Fund Manager Code of Conduct and notifications obligations to the SFC that is important and crucial to a SFC licensed corporation and SFC licensed person to kick off their business.
This online training explains the SFC’s supervision approaches on intermediaries and types of regulatory inspections on SFC licensed corporations to understand the focus and objectives of different types of regulatory inspection. This online training includes practical tips on getting prepared for regulatory inspections and details of SFC thematic inspections on hedge fund managers and their findings on compliance deficiency of some hedge fund managers.
This training provides an overview of the electronic trading regulation introduced by the SFC in 2014 as well as specific compliance requirements on electronic trading system providers and users. This training will explain the requirement in details, provide SFC recommendations to reduce IT hacking risks, and to mitigate risks relating to electronic trading systems.
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 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.
培训结束时您需要完成一个评估测试, 测试内共有10条问题。在进行评估测试之前，您必须完成整个训练, 否则可能导致您的培训证书无效。
培训结束时您需要完成一个评估测试, 测试内共有5条问题。在进行评估测试之前，您必须完成整个训练, 否则可能导致您的培训证书无效。
This training summarizes the history, crucial components and the SFC’s requirements on cybersecurity. It provides examples of implications of not maintaining and practicing proper cybersecurity measures. This training will also go into details of steps the Licensed Corporations can take on employee, governance and technological level to protect its sensitive data and adhere to the SFC’s standards.
This online training provides a basic understanding on SFC Financial Related Returns & Filing, including Financial Resources Rules (FRR) compliance requirements and obligations relating to SFC licensed corporations. This training covers 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.
This training focuses on 10 main operational risks of asset management companies and offers recommendations to properly address them. There is also a part dedicated to case analyses on operational failures of financial companies that fund managers should take heed of. Moreover, the SFC’s latest views on operational risk management will be introduced to keep the fund managers updated as to the regulator’s requirements.
This online training provides an overview of the SFC regulatory regime on the suitability requirement and mis-selling. By walking through the relevant codes and regulations along the client pitching, due diligence and account opening processes, together with a discussion on the recent enforcement and court cases on mis-selling practices, this training offers an insight of the required and best practices in ensuring that suitable services are provided to your clients under the current regulatory environment.
This online training is to explain the key changes with detailed steps to take on compliance under the Revised Fund Manager Code of Conduct (effective from November 2018) and the Dos and Don’ts on compliance in implementing changes and new policies required under the Revised Fund Manager Code of Conduct.
This online training is about key changes of the Revised Fund Manager Code of Conduct and provides detailed steps and points to note on how to prepare policies required under the Revised Fund Manager Code of Conduct: Risk Management Policy, Liquidity Management Policy and Procedures, Valuation Policy and Securities Lending, Repo and Reverse Repo Policy.
This training provides an overview of SIX types of market misconduct under the Securities and Futures Ordinance including below with some enforcement cases information:
- insider dealing
- false trading
- price rigging
- disclosure of information about prohibited transactions
- disclosure of false or misleading information inducing transactions
- stock market manipulation
The purpose of this training is to enhance awareness in order to detect and prevent market misconduct. The training will also provide recommendations on compliance controls to be in place.
This training explains Hong Kong’s Professional Investors Regime under the Securities and Futures Ordinance including the definitions, explaining types of Professional Investors (i.e. Institution, Corporate and Individual Professional Investors) and risks assessment needs to be conducted for different types of Professional Investors.
This training will also explain the client agreement requirement on suitability under the SFC Code of Conduct.
TERMS AND CONDITIONS:
- Please note and respect that CompliancePlus owns the copyrights of all the training materials that you cannot distribute, reproduce, share, transfer, copy and paste any or part of the training to any other third party without prior written consent from CompliancePlus. In case of any of breach of copyrights, CompliancePlus will take legal action against you that you agree to indemnify CompliancePlus for any loss or damages.
- The access to internet and its reliability and stability and access to this online training portal and the provision and availability of the training material can be subject to any internet control policy or media control of relevant country or jurisdiction. In case of any access to the training material is restricted that the training cannot be provided, no refund will be arranged by CompliancePlus. If necessary, please pre-set or adjust any browsing device or software of your computer before the training.
- This training is exclusive for clients, authorised or paid users. CompliancePlus reserves all rights to take legal actions against any unauthorised or non-paying users or attendees for losses and damages and all the related certificates of completion issued shall immediately be deemed null and void.
- Any provision of false, fraudulent or misleading information of attendance record including confirmation of attendance and completion, name of attendee, company name and payment details will lead to cancellation of Certificate of Completion that CompliancePlus issues and that CompliancePlus reserves the rights to notify relevant regulator and law enforcement agency.
- Please note that although CompliancePlus is NOT an accredited CPT provider, this training may be counted as a relevant CPT course subject to internal compliance approval of your organization.
How can I contact the organiser with any questions?
You can email us at firstname.lastname@example.org if any queries or call us at +852-3487 6903.
What’s the refund policy?
No refund once online payment is made for the online training.