(Compliance) Risk Mngt & Control Strategy

Training for HKEX Clearing Participants – Reminder of Payment Obligations


The overall aim of this eCourse is to provide Clearing Participants the knowledge on key risk management tools, payment obligations and the consequences of failure meeting the obligations of HKSCC, HKCC and SEOCH.

Should you have any problem in accessing your eCourses, please email us at [email protected]


By the end of this course, learners will be able to:
- Know the proper operational and monitoring arrangement for meeting payment obligations
- Be aware of the consequence of not meeting the payment obligations on time

Content Highlight

1. Introduction
2. Risk management safeguards
3. Payment obligations schedule
4. Case studies
5. Consequences of payment obligations failure
6. Operations arrangement for fulfilling payment obligations

Who Should Attend

1. Those have been, or will be appointed as a Responsible Officer of HKEX Clearing Participants.

2. All individuals who are interested in learning about the importance of having proper risk management and robust funding arrangements to fulfill their payment obligations as HKEx Clearing participants.

Administrative Details

Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
SFC:1.00, PWMA:1.00
All Member: HKD260
Chinese Securities Association of Hong Kong (HKCSA): HKD260
Non-Member: HKD370
Staff of Corporate Member: HKD260