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Compliance Training

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
  • 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

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To learn more, please email [email protected]
  • SFC Licensing
  • On-going Support
  • ESG Compliance
  • Online AML IRA Tool
  • US SEC Compliance
  • Marketing Materials Review
  • Online CPT Training
  • Money Lender License
  • MSO License
  • Insurance Brokers License
  • TCSP License
  • Online CPD Courses
  • On-site Review
  • KYC / AML Services
  • Compliance Training
  • Virtual Assets / VASP/ Fintech Advisory
  • Funds Authorisation
    • PRC-HK Mutual Recognition of Funds
      • Supplemental Details
  • Offshore Fund Setup
  • Special Projects
  • Visa Applications
  • Online Store
  • Recruitment

Latest Press Release

  • CompliancePlus Advises on Endowus’ Successful Digital Advisor SFC Licenses Application
  • CompliancePlus Donated 10,000 COVID-19 Rapid Antigen Test Kits
  • CompliancePlus Announces Support for the Task Force on Climate-related Financial Disclosures
  • CompliancePlus has been supporting distance online learning program for children suffering from cerebral palsy in mainland through partnership with Silver Lining Foundation
  • CompliancePlus presented awards to winners of Clinical Legal Education Book Prize 2019 in HKU

Latest Media Coverage

  • HKEJ Article on Increasing Licensing Efficiency by SFC and Optimising Online Application
  • Bloomberg: Hong Kong Exodus Forces Market Watchdog Staff Into 12-Hour Days
  • FT/ Ignites Asia: Smaller firms still ‘puzzled’ over HK climate risk disclosure demands
  • Mingpao article on Impacts of the National Security Law on the Financial Industry in Hong Kong
  • Bloomberg: Deutsche Bank Stops Sponsoring H.K. IPOs on Staffing Lapse

Latest Regulatory News

  • Regulatory News (Feb 2023)
  • Regulatory News (Jan 2023)
  • Regulatory News (Dec 2022)
  • Regulatory News (Nov 2022)
  • Regulatory News (Oct 2022)

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