RC017E Statutory obligations during SFC inspections to comply with section 180 of the Securities and Futures Ordinance (1.0 hr)

RC017E Statutory obligations during SFC inspections to comply with section 180 of the Securities and Futures Ordinance

Table of Content :

This one hour course will be presented by Billy Joey in English. It is divided into seven sections that could fulfill the SFC requirement under the categories of Compliance (CM) and Regulatory Compliance (RC). The video content will be delivered in English.

1. Scope of Regulatory Compliance
2. Core Powers of Authorized Persons
3. Investigatory Procedures & Verification
4. Limits, Protection, and Consultations
5. Administration
6. Criminal Offences and Penalties
7. Practical Recommendations for Licensed Corporations

Notice before Purchase

Before making purchase, please kindly click the following link to read the requirements of CPT and our Purchasing Policy.

https://complianceone.thinkific.com/pages/cpten

Course curriculum

1. RC017E Statutory obligations during SFC inspections to comply with section 180 of the Securities and Futures Ordinance (1hr)
2. RC017E Statutory obligations during SFC inspections to comply with section 180 of the Securities and Futures Ordinance --- Quiz

About this course

$320.00
2 lessons
Video content: English
1 Quiz
Printing of Certificate

Make it Right today, Better tomorrow

Enroll to become competent