Table of Content :
This one-hour online course will be presented by Billy Joey in English. It is divided into ten sections that could fulfill the SFC requirement under the categories of Regulated Activity (RA), Compliance (CM), and Regulatory Compliance (RC). The video content will be delivered in English.
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1. "AML-CFT (Amendment) Ordinance 2022"
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2. Ensuring compliance when Streamlined Approach is applied to Sophisticated Professional Investors
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3. China banned new offshore brokerage accounts to rectify “illegal operations”
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4. HKIDR
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5. HKEX consultation paper on securities and derivatives trading under severe weather conditions;Timeline of HKEX’s New IPO Settlement Platform (FINI)
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6. SFC released Proposed Risk Management Guidelines for Futures Contracts Dealing Activities
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7. SFC Published Quick Licensing Guides for Family Offices and Private Equity Firms
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8. SFC launched Type 13 regulated activity for applications from depositaries of public funds
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9. Reminder to Intermediaries on the Over-the-counter Securities Transactions Reporting Regime
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10. SFC’s regulations on Virtual Asset trading platforms and future decision on spot virtual asset ETF;The JPEX Fraudulence
Notice before Purchase
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Course curriculum
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010E Regulatory Updates In 2023 and 2024 (RC006)
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010E Regulatory Updates In 2023 and 2024 (RC006) --- Quiz
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About this course
- $360.00
- 2 lessons
- Video content: English
- 1 Quiz
- Printing of Certificate