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Securities and Futures Commission - Recognised CPT Courses

All courses under the HKSI are recognised for CPT and the course duration usually lasts from 2 to 15 hours. Course contents are usually industry specific. Some of the topics include: regulation updates, financial planning, common dealing malpractice, funds investment, technical analysis, stock investment techniques, derivatives and risk management.

HKSI Continuous Professional Training Courses Training Calendar 2009 Ą@

Ą@

January

February

March

April

June

July

August

September

October

November

December

Date & Time

Course Title

Language

CPT/CPD (Hrs)

Fee

SFC

MPFA

OCI

Fixed Income and Debts Series

6/5/09
7:00 - 9:00pm

Debts Investment

English

2

2

1. HK$200
2. HK$260

Risk Management Series

15/5/09
6:30 - 9:30pm

Corporate Failure ĄV Lessons Learned

Cantonese

Ą@

3

-

1. HK$360
2. HK$480

Funds Management Series

8/5/09 & 13/5/09
7:00 - 9:30pm

Funds Portfolio: Funds Types and Their Features

English

5

5 non-core

-

1. HK$600
2. HK$800

Equity Series

12/5/09
6:30 - 9:30pm

Introduction to GannĄŚs Theory

Cantonese

3

3 non-core

-

1. HK$360
2. HK$480

13/5/09
6:30 - 9:30pm

Fundamentals of Investment Analysis and Stocks Investment

Cantonese

3

3 non-core

3

1. HK$300
2. HK$390

14/5/09
6:30 - 9:30pm

The Psychology of Trading ĄV How Millionaire traders conquer the inner game to success

Cantonese

3

3 non-core

-

1. HK$360
2. HK$480

19/5/09 & 22/5/09
6:30 - 9:30pm

Technical Analysis (I)

English

6

6 non-core

-

1. HK$600
2. HK$780

Derivatives Series

20/5/09
6:30 - 9:30pm

Understanding Equity-Linked Notes

English

3

3 non-core

-

1. HK$300
2. HK$390

Regulatory Series and Compliance Series

4/5//09 & 6/5/09
7:00 - 9:30pm

Regulation of Securities Trading

English

Ą@

5

5 non-core

-

1. HK$500
2. HK$650

5/5/09

7:00 - 9:30pm

Insider Dealing

English

Ą@

2.5

2.5 non-core

-

1. HK$300
2. HK$400

11/5/09

6:30 - 9:30pm

Professional Ethics and Investment Sales Compliance for Financial Advisors

Ą@

3

3 core

3

1. HK$300
2. HK$390

14/5/09
7:00 - 9:00pm &

15/5/09

6:30 - 9:30pm

Overview of Legal and Regulatory Framework for Securities and Futures Industry

English

5

2 core &

3 non-core

5

1. HK$660
2. HK$790

18/5/09 & 20/5/09

7:00 - 9:30pm

Duties and Liabilities of Responsible Officers

5

5 non-core

1. HK$700
2. HK$950

27/5/09
7:00 - 9:00pm &

29/5/09

6:30 - 9:30pm

Overview of Legal and Regulatory Framework for Securities and Futures Industry

5

2 core &

3 non-core

5

1. HK$550
2. HK$660

Executive Seminar / Workshop

26/5/09
9:00am -1:00pm &

2:00 - 5:00pm

Stress Testing and Risk Management

7 non-core

-

1. HK$1,800
2. HK$2,400

Ą@

Sixth PRC Securities Regulations Examination Preparatory Course

1/5/09, 2/5/09 & 3/5/09
9:30am - 12:30pm & 2:00pm - 5:00pm

Sixth PRC Securities Regulations Examination Preparatory Course

Putonghua

18

18 non-core

-

1. HK$3,900
2. HK$5,200
3. HK$4,800

Joint programme with HKEx

5/5/09
5:30pm - 7:00pm

HKATS Training Course Series ĄV CLICK Workstation Training Course

Cantonese
FULL

-

-

-

1*. HK$150
2. HK$195

6/5/09
5:30pm - 7:30pm

HKATS Training Course Series ĄV Rules and Trading Procedures

Cantonese

Ą@

-

-

-

1*. HK$200
2. HK$260

22/5/09
5:00pm - 8:30pm

AMS Terminal Training Course

FULL

-

-

-

1*. HK$350
2. HK$455

CCASS Training Course Series (Joint programme with HKEx)

11/5/09
9:30am - 11:30am

Course 1: Understanding of Securities Clearing & Settlement

2

2 non-core

-

1*. HK$220
2. HK$290
3*. HK$1,400/
HK$1,820

13/5/09
9:30am - 12:30pm

Course 2: Clearing & Settlement (Part I)

3

3 non-core

-

1*. HK$330
2. HK$435
3*. HK$1,400/
HK$1,820

13/5/09
2:30pm - 5:30pm

Course 3: Clearing & Settlement (Part II)

3

3 non-core

-

1*. HK$330
2. HK$435
3*. HK$1,400/
HK$1,820

14/5/09
9:30am - 12:30pm

Course 4: Depository & Nominee System (DNS)

3

3 non-core

-

1*. HK$330
2. HK$435
3*. HK$1,400/
HK$1,820

14/5/09
2:30pm - 5:30pm

Course 5: Fails and Risk Management

3

3 non-core

-

1*. HK$330
2. HK$435
3*. HK$1,400/
HK$1,820

DCASS Training Course Series (Joint programme with HKEx)

11/5/09
5:15pm - 7:15pm

Course 1: Understanding of Derivatives Clearing

2

2 non-core

-

1*. HK$220
2. HK$290
3*. HK$700/
HK$910

19/5/09
9:30am - 12:30pm

Course 2: DCASS Terminal Training

FULL

3

3 non-core

-

1*. HK$330
2. HK$435
3*. HK$700/
HK$910

19/5/09
2:30pm - 4:30pm

Course 3: CCMS Training

FULL

2

2 non-core

-

1*. HK$220
2. HK$290
3*. HK$700/
HK$910

CLICK FOR CPD COURSES RECOGNISED BY MPFA

CLICK FOR CPD COURSES RECOGNISED BY OCI

CLICK FOR CPD COURSES RECOGNISED BY THE LAW SOCIETY OF HONG KONG

Professional Certificates

June 2009 Intake

Re-entrant Programme to Securities and Investment Markets

English / Cantonese

1.HK$7,300
2.HK$8,580

May - September 2009 Intake

Professional Certificate in Securities Dealing

51

1. HK$5,280
2. HK$6,330

May - July 2009 Intake

Professional Certificate in Derivatives Dealing

1. HK$5,280
2. HK$6,330

August - September 2009 Intake

RA 9 Asset Management

1. HK$1,620
2. HK$1,940

June 2009 Intake

RA 6 Advising on Corporate Finance

1. HK$2,580
2. HK$3,090

Participants may enroll individual modules for the above certificate programs.

Note :	1. HKSI Member or staff of HKSI corporate member
	1*. HKSI Member, staff of HKSI corporate member or Exchange Participants of HKEx
	2. HKSI Student Members / Non-member
	3. The Securities Professionals Association / Hong Kong Stockbrokers Association / Hong Kong Institute of Securities Dealers
	Ltd / SFC Licensee.
	3*. A package fee will be given to those apply to attend all courses of the respective series. (Please refer to the leaflets for more details). The terms and conditions of package fee are stated in the promotional leaflets. Applicants must read them and agree to abide by them before submitting enrolment form.

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