The latest SFC Requirements for CPT

According to the SFC's Guideline on Continuous Professional Training (CPT), licensed persons should attend continuous trainings to update their knowledge and skills to maintain their professional competence and to remain fit and proper.

Since 1st January 2022, the SFC has required licensed persons to attend at least 10 hours of continuing professional training (CPT) per calendar year, which includes: 


  • Attending at least 5 CPT hours on topics directly relevant to the Regulated Activities in which they engage;
  • Completing at least 2 CPT hours on topics relating to Ethics or Compliance.
  • With greater responsibility and accountability of the responsible officer (RO) or executive officer (EO), the SFC requires them to attend an additional 2 hours of ongoing training per year on Regulatory Compliance, i.e., at least 12 hours of ongoing training. 
  • Those engaging in sponsor work are required to undertake 2.5 CPT hours in Sponsor related CPT; 
  • Those engaging in Takeovers Code transactions are required to undertake 2.5 CPT hours in Takeovers Code-related CPT in each calendar year.
  • Within the 12 months after a person first becomes an individual, that person must undertake 2 CPT hours on “Ethics”, which include, but are not limited to, topics relating to integrity, fairness, due care and diligence, good faith, objectivity, best interests of clients, treating clients fairly, avoidance of conflicts of interest and confidentiality of clients’ information.


For further information about the Continous Professional Training (CPT) requirements, you are advised to read "Guidelines on Continuous Professional Training", "Guidelines on Competence", and "Fit and Proper Guidelines" published by the SFC.

About ComplianceOne's Online CPT Platform


About ComplianceOne:

At ComplianceOne Consulting Limited (“ComplianceOne”), we aim to provide an all-around Compliance Service with professionalism and flexibility that is tailor-made to fit your needs.


About ComplianceOne Online CPT Platform:

  • Please note that ComplianceOne is not approved as a recognised institution for providing CPT. 
  • However, we strive to provide high-quality CPT courses to licensed persons. We update and evaluate our CPT courses on an ongoing basis.
  • The topics of our CPT courses generally include the followings. 1-11 are for licensed representatives while 12-16 are for responsible officers:
  1. Applicable compliance, legislative and regulatory standards;
  2. Business conduct and ethical standards;
  3. Market developments, new financial products and risk management systems; 
  4. Business communication skills and trade practices;
  5. General law principles;
  6. Basic accounting theories;
  7. Fundamental economic analysis;
  8. Fintech;
  9. Environmental, social and governance (ESG);
  10. Cybersecurity;
  11. Information technology;
  12. Business management; 
  13. Risk management and control strategies;
  14. General management and supervisory skills; 
  15. Macro and micro economic analysis; and
  16. Financial reporting and quantitative analysis.


About our Online CPT Courses:

Our online courses are meant to be connivence and interactive!

Our courses are usually designed as 0.5,1.0,1.5 or 2.0 hours each. You are required to attend the course via Thinkific online platform. After finishing the course, you are then required to finish a short Quiz as an evaluation of your attendance. You may also print out an official Certificate as a proof of attending our CPT courses. Finally, you may login to the Thinkific platform anytime anywhere to retrieve your training records.

Purchase Process

Please first read the Course Description before making any purchase. You are advised to fully understand what CPT topics are relevant to your CPT requirement. Meanwhile, please read the Disclaimer  of enrolling in our online CPT courses.

FAQs

1) How do I verify which CPT courses are relevant for me?

Licensed Corporations are held primarily responsible for planning and implementing a continuous education programme best suited to the training needs of the individuals they engage which will enhance their industry knowledge, skills and professionalism. Licensed Corporations should at least annually evaluate their training programmes and make commensurate adjustments to cater for the training needs of the individuals they engage.

If you are not certain about if the courses are relevant to fit your CPT needs, you are advised to seek approval from Responsible Officers and/or MIC of Compliance. You are also welcome to contact our compliance consultant at:

WhatsApp: (852) 54908117

Email: [email protected]


2) Is ComplianceOne an accredited CPT provider?

Please note that ComplianceOne consulting Limited is NOT an accredited CPT provider. The course is designed as an internal continuous education program best suited to the training needs of your employees and which will enhance their industry knowledge, skills and professionalism. This may be counted as relevant CPT course subject to compliance approval of the Company. The Company should keep the details of the training conducted, the attendance records, and materials provided for employees who have completed the training, etc. 

The Company should at least annually evaluate the training programs and make commensurate adjustments to cater for the training needs of your employees. 

ComplianceOne could provide documentary evidence to support your attendance or completion of the course upon request.

 

3) After purchasing, how long is the enrollment period for the online CPT courses?

Our online CPT courses are valid for 365 days after purchase. You can login, attend, or print out a certificate anytime anywhere during this valid period.


4) Can I print out my CPT certificate?

Yes. At enrollment, you are prompted to enter your personal information. Please make sure you have correctly and completely entered your personal information during this process because your full name will be printed on the CPT certificates. You are obligated to disclose your true Company Name, Full Name, Title and other information that is requested upon enrollment. Failure to do so shall result rejection of enrollment without any refund.

After finishing the course, you can click the button to receive and print out the Certificate as proof of completing related training!


5) What is the payment method and the refund policy?

We accept payment by Visa credit card or PayPal. There is no refund after enrollment.


6) What kind of devices are supported?

Our platform can support mobile phone, tablet and computer. Download is not required.


7) How to contact ComplianceOne?

If you encounter any problems at purchase and during enrollment, please kindly call us at (852) 37517810, WhatsApp us at (852) 54908117 or e-mail us at [email protected].

Disclaimer

Disclaimer

By accessing complianceone.thinkific.com, www.complianceone.hk,  or any of its webpages (the “Webpages”), you unconditionally agree to the contents of this Terms and Conditions and as they may be modified and/or supplemented from time to time by ComplianceOne Consulting Limited (“ComplianceOne”) without prior notice to you.  Please check the above webpages regularly for any modifications and/or supplements which may be made. 

This website is for informational and illustrative purposes only and should not be construed as legal, taxi, investment or other advice. Also, it does not constitute an offer to provide legal and accounting services and opinion by ComplianceOne Consulting Limited.

ComplianceOne shall not be liable for any damages (including but not limited to computer virus, system problems or under any other cause of action) however arising from or in respect of any use or misuse of or reliance on ComplianceOne.


Copyright

All Information in the website is the exclusive property of ComplianceOne, its subsidiaries and associated companies, and it is under the protection of intellectual property laws and rights (including without limitation laws protecting copyright). Unauthorized use of any Information in the website is an infringing act under the laws and rights. All Information (in whole or in part) of the website may not be used, copied, sold, transmitted, modified, published, stored or otherwise exploited, for any purpose without our express consent. Legal action will be taken against any infringer for loss and damages. 


In the event of any discrepancy between the Chinese and English versions, the English version shall prevail.