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! Please note that new courses are added at the bottom of the list.
This training provides you an overview on the SFC Guideline on Anti-Money Laundering and Counter-Financing of Terrorism for Licensed Corporations (“AML/CTF” Guideline). The content of the recent update on the SFC AML/CTF Guideline which is effective from November 2018 has also been included in this training.
If you would like to familiarise yourself with the most updated SFC approach on the AML/CTF requirements on the Licensed Corporations, you are highly recommended to attend this training.
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.
3. Compliance Kick Off Online Training (0.5 hour) (English version)
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.
4. Compliance Online Training on Regulatory Inspection (0.5 hour) (English version)
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.
5. Online Training on SFC Electronic Trading Regulation (0.5 hour) (English version)
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.
6. Online Training on SFC Manager-In-Charge Regime (1 hour) (English version)
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.
7. Online Training on Insider Dealing Compliance Issues and Cases (1 hour) (English version)
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.
8 – 香港打击洗钱及恐怖分子资金筹集监管规定线上培训 (1小时)
此培训概述了香港反洗钱和打击恐怖分子资金筹集的法律制度, 以及证监会打击洗钱及恐怖分子资金筹集指引的详情,包括洗黑钱的概念,以风险为本评估客户风险,客户尽职调查程序,可疑交易的例子和可疑交易的报告义务以及反洗钱的培训要求等。
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。
本线上培训主要为证监会持牌的资产管理及基金经理公司提供基本合规要求与责任资讯。本培训内容覆盖证监会基金经理操守准则提及的主要合规要求以及相关的通报要求与责任。这对证监会持牌企业及人士在开展业务上至为重要。
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。
10 – Compliance Issues and Cyber Security Risks in the Digital Era (1 hour) (English version)
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.
13 – Compliance Training on How to Avoid Product Mis-selling (0.5 hour) (English version)
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.
This online training course provides an overview on the revamped SFC licensing process as of April 2019. The key 4 major changes in the licensing forms & supplements and other important updates will be discussed in this training. No matter whether you are a SFC licence applicant or existing licensed corporation, you are highly recommended to visit this training course as you are inevitably to be impacted under this newly updated licensing process.
The Securities and Futures Commission issued its consultation conclusion on proposed amendments to the Code on Unit Trusts and Mutual Funds (UT Code) on 6 Dec 2018 while the changes were effective on 1 January 2019.
This online training provides an overview of the requirements of the Revised UT Code and highlights the changes under the revamped code. The areas covered include, inter alia:
- Different specialized schemes
- Management Company
- Trustee / Custodian
- Investment Core Requirement
- Offering Document/ KFS Disclosure
- Ongoing Compliance
20 – Update about SFC Revised Financial Resources Rules (FRR) (April 2019 Edition) (1 hour)
This training provides an overview on the revised SFC Financial Resources Rules (FRR) which has been effective on 1 April 2019. The major changes in the FRR are the accounting treatments regarding the tenancy agreements for business premises, proprietary positions and haircut percentages, securities dealing and underwriting, and technical changes..
This training provides an overview on the introduction of SFC Guidelines on Online Distribution & Advisory Platforms (“the Guidelines”) and Offline Requirements Applicable to Complex Products (“Paragraph 5.5 Code of Conduct”) which both have become effective on 6 July 2019. After these updates, the online and offline requirements for the distribution of complex products are aligned and it would ensure a level playing field, avoiding potential regulatory arbitrage.
This online training provides an overview of the risk mitigation requirements in relation to non-centrally cleared OTC derivative transactions which has already become effective on 1 September 2019.
In this training session, it covers the background of the SFC OTC derivatives regulatory regime, risk mitigation requirements in relation to non-centrally cleared OTC derivative transactions, follow-up compliance points-to-note as well as the discussion of some common FAQs on this topic.
23 – Introduction to Hong Kong Open-ended Fund Companies Regime (1 hour)
In July 2018, the Hong Kong SFC introduced the new open-ended fund companies (OFC) regime that enables investment funds to be established in corporate form in Hong Kong, in addition to the current unit trust form.
OFC is administrated under the SFC Code on Open-Ended Fund Companies. This training will provide information about the OFC regime in Hong Kong and their key features, SFC application and approval process, post establishment requirements, comparison with Cayman Islands exempted fund companies structure and the SFC Consultation with proposed enhancements to the OFC issued in Dec 2019.
This course explains the general record keeping requirements and obligations, record retention period for SFC Licensed Corporations in Hong Kong under the Securites and Futures Ordinance and the Securities and Futures (Keeping of Records) Rules and the SFC Circular about the Use of External electronic data storage.
25 – SFC Proposed Expanded Type 9 Licensing Regime (0.5 hour)
This course explains the details of the SFC proposed expanded Type 9 Regulated Activity (“RA”) licensing regime in which the current Type 9 RA licence is expected to be expanded to include providing the service of managing a portfolio of OTC derivative products for another person. However, this licensing regime has yet been implemented and it is currently pending for further notice from the SFC regarding the implementation date.
If you would like to first get prepared for this proposed licensing regime, this training will be a good introduction for you to understand the expanded Type 9 licensing regime and this training presentation will go through the following content:
- Introduction to SFC OTC Derivatives Regulatory Regime
- Scope and Exemptions of SFC Expanded Type 9 RA
- SFC Expanded Type 9 Transitional Arrangement
- SFC Expanded Type 9 Applicant Criteria and RO Qualification
26 – SFC Anti-Money Laundering and Counter – Financing of Terrorism Foundation Training (0.5 hour)
This course provides basic and foundation training on SFC Anti-Money Laundering and Counter-Financing of Terrorism that covers areas below:
- Overview of AML / CFT Regulatory Regime in Hong Kong
- Risk based Approach on Customer and Institutional Risk Assessment
- Customer Due Diligence Process
- Sanction Screening
- Ongoing Monitoring
- Record Keeping
- Suspicious Transaction Reporting
- Staff AML Training
27 – Compliance Points to note for Marketing Materials (1 hour)
Marketing for financial products, collective investment schemes and SFC licensed firms have been very competitive that can easily give rise to concerns and issues from preparing and the use of marketing materials.
This presentation video will be divided into 6 different parts as below:
- Understanding of various types of marketing materials
- Regulatory expectation on Marketing Materials
- Major SFC Regulations on Marketing Materials for Collective Investment Schemes
- Common issues on Marketing Materials for Collective Investment Scheme
- Consequences on Non-compliance
- Actions to take to address compliance issues or concerns that may arise from Marketing Materials
We see more demands for Multi-Family Offices, External Asset Managers services in the past few years. This presentation will cover topics below:
- How to ensure regulatory compliance in relation to cross-border business activities while adhering to the legal and regulatory requirements of Hong Kong?
- How to comply with SFC account opening requirements when onboarding clients non-face-to-face?
- How to stay compliant when receiving commissions from brokers, product issuers, and other third parties?
- How to avoid conflicts of interests under different scenarios such as carrying multiple licenses, personal dealing, asset allocation, etc?
This course is particularly suitable for compliance officers, operation managers, responsible officers, Manager In Charge of these SFC licensed companies to attend.
29 – SFC 2020 Consultation Paper on Proposed Amendments to the AML/CFT Guideline (1 hour)
On 18 September 2020, the SFC published a Consultation Paper on proposals to amend the Guideline on Anti-Money Laundering and Counter-Financing of Terrorism (for Licensed Corporations) (“AML/CFT Guideline”) and its Prevention of Money Laundering and Terrorist Financing Guideline issued by the SFC for Associated Entities with a consultation deadline in December 2020.
The objectives of the proposed amendments are to:
- Align the AML/CTF Guideline for SFC-Licensed Corporations with the Financial Action Task Force’s (“FATF”) latest standards on AML/CFT amplified by the Guidance for a Risk-Based Approach for the Securities Sector published by the FATF in October 2018 (“Risk-Based Approach Guidance”);
- Address some areas for improvement identified in the latest Mutual Evaluation Report of Hong Kong published by FATF on 4 September 2019;
- Facilitate the securities industry’s implementation of AML/CFT measures using a risk-based approach; and
- Incorporate relevant guidance currently set out in the SFC’s circulars to SFC Licensed Corporations and associated entities on AML/CFT standards in areas including institutional risk assessments and third-party deposits and payments and other guidance into the revised guidelines.
In this online training course, it covers the following areas for you all to understand the impacts and changes under this Proposal in the above SFC AML Consultation Paper:
- Introduction to this SFC AML Consultation paper issued in September 2020
- Proposed Governance and Processes for Institutional Risk Assessments
- Proposed Risk Indicators for Institutional and Customer Risk Assessments
- Proposed Due Diligence for Cross-Border Correspondent Relationships
- Proposed requirements and amendments about Third-Party Deposits and Payments
- Proposed requirements for Persons Purporting to Act on behalf of the Customer
- Proposed requirements on establishing Source of Funds and Source of Wealth
- Other amendments
30 – High risk vs Low risk? – Walking through the AML/CFT Risk Assessment Process (1.5 hour)
This training provides you an overview on the AML/CFT risk assessments under the SFC Guideline on Anti-Money Laundering and Counter-Financing of Terrorism for Licensed Corporations (“AML/CFT” Guideline). In particular, this training will focus on the AML/CFT risk assessments at the Licensed Corporation as well as customer levels. The training contents are as follow:
Part 1: What are AML/CFT risk assessments
Part 2: SFC’s regulatory concerns on AML/CFT risk assessments
Part 3: Effective AML/CFT risk assessment processes at Company and Customer level
Part 4: Common challenges when exercising risk assessments
Part 5: Practical solutions to the challenges
31 – SFC Inspection – Getting Prepared for The FINAL TRIAL (1 hour)
This training provides you an overview on a SFC routine inspection including the process of the SFC inspection, SFC expectation on licensed corporation, scope of SFC inspection and the preparation tips to get ready for the inspection.
The training includes content as below:
PART 1: Introduction to SFC Inspection
PART 2: SFC Expectation on Licensed Corporation
PART 3: Scope of SFC Inspection
PART 4: How to Get Ready for an Inspection
If you would like to have a clear understanding on a SFC inspection in order to meet the SFC’s expectation when it visits, you are highly recommended to attend this training.
32 – The Rise of Robo-Advisor: The Hype VS The Reality (1 hour)
This training explains what Robo-Advisors are and outlines the regulatory environment and market overview of Robo-Advisors in Hong Kong and other jurisdictions. It also discusses the licensing requirements and ongoing compliance obligations for Robo-Advisors in Hong Kong.
The training includes content as below:
Part 1: Introduction
Part 2: Robo-Advisors Examples in Hong Kong
Part 3: SFC Licensing in Hong Kong on Robo-Advisors
Part 4: Ongoing Compliance Obligations & Relevant Guidelines
Part 5: Overseas Jurisdictions & Regulatory Overview on Robo-Advisors
Part 6: Future of Robo-Advisors
In October 2020, the Securities and Futures Commission (SFC) launched a consultation on proposed requirements for fund managers to take climate-related risks into consideration in their investment and risk management processes and make appropriate disclosures to meet investors’ growing demands for climate risk information and combat greenwashing.
The Proposal seeks to amend the existing SFC Fund Manager Code of Conduct to set out expected baseline requirements and standards to facilitate fund managers’ compliance.
This presentation video will be divided into areas below:
1. International Development on disclosure of Climate-Related Risks
2. Task Force on Climate-Related Financial Disclosures (TCFD)’s Recommendations
3. SFC’s Proposal details on Climate-Related Risks Disclosure and Best Practices
34 – Virtual Assets related Compliance Requirements to SFC Licensed Asset Managers (1 hour)
On 1 November 2018, the SFC has issued announcements which have a regulatory impact on those who conduct financial activities involving virtual assets in Hong Kong. In particular for those fund managers which are interested in managing portfolios in virtual assets, the SFC has stated the types of virtual asset portfolio managers will be subjected to the SFC’s supervision, the SFC regulatory standards on these virtual asset portfolio managers as well as the licensing process of these virtual asset portfolio managers.
In this training, it will first provide you an overview of the SFC regulatory landscape on virtual assets and overview of the global crypto hedge funds and crypto ETFs.
In the second and third section of this training, it will give you an overview on the SFC regulatory standards on those virtual asset portfolio managers by understanding the compliance requirements as stated in “SFC Proforma Terms and Conditions for Licensed Corporations which Manage Portfolios that Invest in Virtual Assets” (“SFC Terms and Conditions”).
In the fourth section of this training, it will give you an overview on the additional requirements that is applicable or not applicable to the virtual asset discretionary account managers as stated in the SFC Terms and Conditions.
Finally, it will give you a number of take away points in regard to this topic.
If you would like to understand more about the SFC regulatory approach on virtual asset portfolio management, you should not miss out this course.
In this 90 minutes AML training, the training goal is to provide an overview of Hong Kong Anti-Money Laundering regime; legal obligations to file Suspicious Transactions Reporting to Joint Financial Intelligence Unit in Hong Kong; basic understanding of key AML requirements in financial institutions such as SFC Licensed Corporations, Insurance Institutions and Trust or Company Service Provider operating in Hong Kong; the relevant Customer Due Diligence Process; Risk Assessment Methodology and Analysis and Record Keeping Requirements etc.
This training is divided into 5 parts as below:
- Hong Kong Anti-Money Laundering (AML) Regime Overview and Key Requirements;
- Suspicious Transactions Reporting (STR);
- Specific AML Requirements for Securities and Futures Commission (SFC) Licensed Persons;
- Specific AML Requirements for Insurance Authority (IA) Licensed Persons; and
- Specific AML Requirements for Trust & Company Service Provider (TCSP) License Holders
36 – Overview on the US SEC Examination Regime (1 hour)
This online training provides an overview of the US Securities and Exchange Commission (“SEC”)’s National Exam Program, which is conducted by the Division of Exams of the US SEC. This will be helpful to the Hong Kong SFC licensed corporation which is going to or has registered or reported as an Exempt Reporting Adviser (“ERA”) and Registered Investment Adviser (“RIA”).
This presentation will cover the following areas:
1. Introduction to the US SEC examination
2. Types of US SEC examinations
3. Process of the US SEC examination
4. Preparation Tips
5. Common deficiencies identified during the examination process
6. Common documents requested for by the US SEC examiners
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.
FAQs
How can I contact the organiser with any questions?
You can email us at info@complianceplus.hk 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.
How do I sign up the online courses?
Please note that you are required to create an account with Thinkific, our Learning Management platform, before you start the training.
When do I receive the CPT certificate after attending the online courses?
You can download your CPT certificate from Thinkific upon completion of the online training and passing of the assessment test after the training.
What name will show on the CPT certificate?
Your Certificate of Completion will be issued using the name used to create the account. Therefore, please ensure that your official name is used when creating the account on Thinkific.