[In-person] Duties and Liabilities of Responsible Officers
Tuesday, 27 Jun 2023 (18:30 - 21:00)
Thursday, 29 Jun 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
HKD
675
Student Member (UHKSI)
[Luncheon] Regulatory Series Featuring Ms Julia Leung, Chief Executive Officer of SFC
New
Friday, 7 Jul 2023 (11:45 - 14:00)
Island Shangri-La Hong Kong
English
Advanced
SFC:1.00, PWMA:1.00
2 Hours 15 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
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
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
Life of a Trade - Part 1
eLearning
ePlatform
English
Introductory
SFC:1.00, PWMA:1.00
1 Hour
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Type 8 - Securities margin financing
...More
HKD
285
All Member
HKD
420
Non-Member
HKD
285
Staff of Corporate Member
Life of a Trade - Part 2
eLearning
ePlatform
English
Introductory
SFC:2.00, PWMA:2.00
2 Hours
Type 1 - Dealing in securities
HKD
570
All Member
HKD
840
Non-Member
HKD
570
Staff of Corporate Member
Anti-Money Laundering
eLearning
ePlatform
English
Introductory
SFC:1.00, PWMA:1.00
1 Hour
Regulatory Compliance
HKD
285
All Member
HKD
420
Non-Member
HKD
285
Staff of Corporate Member
Interest Rate Mathematics - Part 3
eLearning
ePlatform
English
Introductory
SFC:1.00, PWMA:1.00
1 Hour
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
285
All Member
HKD
420
Non-Member
HKD
285
Staff of Corporate Member
Portfolio Theory - Part 3
eLearning
ePlatform
English
Introductory
SFC:2.00, PWMA:2.00
2 Hours
Type 1 - Dealing in securities
Type 4 - Advising on securities
Type 9 - Asset management
HKD
570
All Member
HKD
840
Non-Member
HKD
570
Staff of Corporate Member