[In-person] Duties and Liabilities of Responsible Officers
Monday, 25 Sep 2023 (18:30 - 21:00)
Tuesday, 26 Sep 2023 (18:30 - 21:00)
HKSI Institute, 17/F, Cambridge House, Taikoo Place, 979 King’s Road, Quarry Bay, Hong Kong
English
Intermediate
SFC:5.00, PWMA:5.00
5 Hours
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
...More
HKD
1,400
All Member
HKD
2,800
Non-Member
HKD
1,400
Staff of Corporate Member
[Celebrate the Mid-Autumn Festival] Networking Happy Hour!
Members Only
Members Only
Networking
Tuesday, 26 Sep 2023 (18:30 - 20:00)
Thirsty Shaker
Simp. Chi / Putonghua,Trad. Chi / Cantonese,English
1 Hour 30 Minutes
HKD
180
All Member
HKD
180
Staff of Corporate Member
[In-person] Regulatory Insight – Power of Investigation and Prosecution of the SFC
Friday, 13 Oct 2023 (18:30 - 21:30)
HKSI Institute, 17/F, Cambridge House, Taikoo Place, 979 King’s Road, Quarry Bay, Hong Kong
English
Intermediate
SFC:3.00, PWMA:3.00
3 Hours
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
...More
HKD
840
All Member
HKD
1,680
Non-Member
HKD
840
Staff of Corporate Member
[Luncheon] Regulatory Series – Hong Kong as an International Financial Centre: Outlook and Opportunities
New
Tuesday, 24 Oct 2023 (12:00 - 14:00)
Asia Society Hong Kong Center
English
Advanced
SFC:1.00, PWMA:1.00
2 Hours
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
...More
HKD
1,380
All Member
HKD
15,600
Member's Table (12 pax)
HKD
1,580
Non-Member
HKD
18,000
Non-member's Table (12 pax)
HKD
1,380
Staff of Corporate Member
[In-person] Handling an SFC Investigation
Friday, 27 Oct 2023 (18:30 - 21:00)
HKSI Institute, 17/F, Cambridge House, Taikoo Place, 979 King’s Road, Quarry Bay, Hong Kong
English
Advanced
SFC:2.50, PWMA:2.50
2 Hours 30 Minutes
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
...More
HKD
775
All Member
HKD
1,550
Non-Member
HKD
775
Staff of Corporate Member
[In-person] Duties and Liabilities of Responsible Officers
Monday, 20 Nov 2023 (18:30 - 21:00)
Thursday, 23 Nov 2023 (18:30 - 21:00)
HKSI Institute, 17/F, Cambridge House, Taikoo Place, 979 King’s Road, Quarry Bay, Hong Kong
Trad. Chi / Cantonese
Intermediate
SFC:5.00, PWMA:5.00
5 Hours
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
...More
HKD
1,400
All Member
HKD
2,800
Non-Member
HKD
1,400
Staff of Corporate Member
[In-person] Duties and Liabilities of Responsible Officers
Tuesday, 5 Dec 2023 (18:30 - 21:00)
Thursday, 7 Dec 2023 (18:30 - 21:00)
HKSI Institute, 17/F, Cambridge House, Taikoo Place, 979 King’s Road, Quarry Bay, Hong Kong
Trad. Chi / Cantonese
Intermediate
SFC:5.00, PWMA:5.00
5 Hours
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
...More
HKD
1,400
All Member
HKD
2,800
Non-Member
HKD
1,400
Staff of Corporate Member
Alternative Assets - Part 2
eLearning
ePlatform
English
Introductory
SFC:1.00, PWMA:1.00
1 Hour
Type 9 - Asset management
HKD
285
All Member
HKD
420
Non-Member
HKD
285
Staff of Corporate Member
Private Banking & Wealth Management - Part 5
eLearning
ePlatform
English
Introductory
SFC:2.50, PWMA:2.50
2 Hours 30 Minutes
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
...More
HKD
710
All Member
HKD
1,050
Non-Member
HKD
710
Staff of Corporate Member
Credit Analysis - Part 4
eLearning
ePlatform
English
Intermediate
SFC:3.00, PWMA:3.00
3 Hours
Type 10 - Providing credit rating services
HKD
915
All Member
HKD
1,335
Non-Member
HKD
915
Staff of Corporate Member