This Annual SFC Introduction/Refresher Compliance Program for licensed individuals and substantial shareholders of SFC licensed firms comprises 3 Modules:

1. SFC Introduction/Refresher Training
2. Basic AML Training
3. Insider Trading Awareness Training

The courses have been designed by our consultancy team to deliver the required minimum compliance training requirements for persons working at SFC firms that primarily deal with non-retail clients.  All staff should be provided with additional focused training for their roles, but this combined course is designed to give a broad range of staff an understanding of their obligations with respect to these core compliance matters. The training can be provided as part of a firm's overall program to assist their staff in achieving compliance with Continuous Professional Training standards in Hong Kong.  

A summary video may be found here. AML (0.34), Market Misconduct (1.24) and SFC Refresher (3.17).

This program is eligible for 2.5 SFC CPT hours.  Please confirm with your Compliance/HR Team if this course is accepted as eligible for company CPT.

Corporate Discount / Bulk Purchase Rates are available.  Please contact Cognitive GRC.