A general overview of Hong Kong SFC’s regulatory environment for employees of firms which are licensed or are going to be licensed. This course is an induction course for new joiners and a refresher course for existing staff.

Companies operating in Hong Kong are required to adopt suitable measures to protect the personal data of the individuals they deal with.

This course is an introduction to the key concepts and best practices for personal data protection.

The course covered topics such as: Obligations on selling financial products and code of conduct in Hong Kong, covering topics such as management responsibility, product due diligence, know your client requirements and documentation standards. The course discusses in depth the implications of not following the guidelines set by the SFC.

This course introduces the MICs, ROs and CEO appointments in light of the SFC’s classification of core functions within licensed corporations and its guidelines on the Manager-in-Charge Regime.

This course is a general introduction to the Personal Data Protection Act (“PDPA”) and Regulations in Singapore. Employees attending this course will be able to identify and understand key requirements under PDPA and assist to review and ensure that the companies’ policies and procedures are addressing the requirements of PDPA.

The course discusses the new guidelines from the PDPC on e-data and includes topic like : security breaches, current Singapore legislation, authenticating individuals’ access to data, password security, data theft, destruction of personal e-data, and best practice techniques.

This is a 0.5 hour course and will contribute towards 0.5 Core CPD Hour. This course is designed to outline a new set of rules issued by MAS aiming at raising the cyber security standards and strengthening cyber resilience of Financial Institutions in Singapore.

Investors need to have confidence that the people with whom they deal are competent, honest, financially sound, and treat them fairly. This course provides you with an overview of risks and concerns associated with hiring in Asia, illustrates the fit and proper requirements of the proposed employee to be hired and areas that may pose a risk to the hiring firm and how to mitigate them.

In a properly regulated market, regulators and practitioners all have a role to play to prevent market misconduct from occurring. This course introduces the concepts of insider dealing and provides you with an overview on various unfair market practices, the consequences of those practices and how to identify suspicious activity.

The banking industry enjoys a strong reputation for honesty and integrity which depends on effective supervision and corruption prevention. This course provides you with a comprehensive understanding of the Prevention of Bribery Ordinance, demonstrates the corruption risks in banks and provides guidance on how to prevent these offences from being committed.

The industry enjoys a strong reputation for honesty and integrity which depends on effective supervision and corruption prevention. This course provides you with a comprehensive understanding of the Prevention of Bribery Ordinance, demonstrates the corruption risks in finance and provides guidance on how to prevent these offences from being committed.

The banking industry enjoys a strong reputation for honesty and integrity which depends on upholding and maintaining effective ethical behavior and practices. This course provides you with a comprehensive understanding of ethical decision-making, demonstrates the potential malpractice in banks and provides guidance on how to create a strong ethical culture to ensure compliance.

The financial industry enjoys a strong reputation for honesty and integrity which depends on upholding and maintaining effective ethical behavior and practices. This course provides you with a comprehensive understanding of ethical decision-making and provides guidance on how to create a strong ethical culture to ensure compliance.

This is a 1.5 hour course. By the end of this course, participants will be able to pinpoint the expected outcomes of the IAC Guidelines, and to use these outcomes as a reference point when designing an individual accountability framework. Participants will be able to discuss the Guidelines’ implication on internal control, procedures, and compliance.

金融机构必须建立强大的管制去检测和阻止非法资金在金融体系中流动。本课程简单介绍反洗黑钱和打击恐怖主义融资的关键概念。

本课程介绍香港对于证监会持牌代表和即成为持牌代表的监管制度。本课程适合新入职者和为现有员工提供进修

本课程根据证监会对持牌法团内核心职能的分类及其有关主管经理制的指导原则，介绍MIC，RO和CEO的任命。

Financial institutions operating in Singapore must have robust controls to detect and deter the flow of illicit funds through Singapore’s financial system. This is an in-depth course on Singapore’s AML regime for front line and MAS-registered staff.