Table of Content :
This 1.0 hour online course will be presented by Billy Joey in English. It is divided into three sections that could fulfill the SFC requirement under the categories of Regulated Activity (RA), Regulatory Compliance (RC) and Compliance (CM). The video will be delivered in English.
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1. Overview of Hong Kong Capital Market and Local Government Financing Vehicle (LGFV) Bonds
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2. Responsibilities and Ethical Standards or Capital Market Intermediaries
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3. SFC Thematic Inspection Findings – Common Mistakes in DCM Business and Practice Improvement Guidelines
Notice before Purchase
Before making purchase, please kindly click the following link to read the requirements of CPT and our Purchasing Policy.
Course curriculum
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RA008E Debt Capital Markets (DCM) Business: Compliance Operations (1.0hr)
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RA008E Debt Capital Markets (DCM) Business: Compliance Operations --- Quiz
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About this course
- $320.00
- 2 lessons
- Video content: English
- 1 Quiz
- Printing of Certificate