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Securities and Futures Commission - Recognised CPT Courses
 
 All courses under the HKSI are accredited 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  

 

January February March April May June July August September October NOVEMBER December
Date & Time Course Title

Language

 CPT/CPD (Hrs)

Fee
SFC MPFA OCI
Risk Management Series
9/11/09
6:30 - 9:30pm		 US Subprime Crisis Cantonese

　

3

 3 non-core

-

 1. HK$420
2. HK$570
30/11/09
6:30 - 9:30pm		 Securities Operations

English

3

 3 non-core

-

 1. HK$360
2. HK$480
Funds Management Series
11/11/09
6:30 - 9:30pm		 Fund Investment and Alternative Investment

English

3

 3 non-core

3

 1. HK$300
2. HK$390
24/11/09
7:00 - 9:00pm		 Guide to MPF Constituent Funds

Cantonese

　

2

2 core

2

 1. HK$200
2. HK$260
26/11/09
6:30 - 9:30pm		 Essential Tools to Hedge Funds and Trading

English

FULL

3

3 non-core

-

 1. HK$360
2. HK$480
Equity Series
9/11/09 & 11/11/09
7:00 - 9:30pm		 The Investment Strategies of Positive Thinking and Behavior

Cantonese
 FULL

5

5 non-core

-

 1. HK$500
2. HK$650
10/11/09 & 13/11/09
7:00 - 9:30pm		 Trade Finance

Cantonese

5

5 non-core

-

 1. HK$600
2. HK$800
16/11/09 & 19/11/09
7:00 - 9:30pm		 Financial Statements Analysis Cantonese

5

5 non-core

-

 1. HK$500
2. HK$650
23/11/09 & 30/11/09
6:30 - 9:30pm		 Technical Analysis (II)

Cantonese

　

6

6 non-core

-

 1. HK$720
2. HK$960
Derivatives Series

2/11/09 & 6/11/09

7:00 - 9:30pm

 Futures and Foreign Exchange Market

Cantonese

5

5 non-core

-

 1. HK$500
2. HK$650

17/11/09

6:30 - 8:30pm

 Stock Options - Application and New Market Development (A joint programme with HKEx)

Cantonese

FULL

2

2 non-core

-

 1. HK$250
2. HK$325

18/11/09 & 25/11/09

6:30 - 9:30pm

 Investing in Warrants

English

　

6

6 non-core

-

 1. HK$720
2. HK$960
Financial Planning Series

2/11/09

7:00 - 9:00pm

 Investment Linked Insurance Products

Cantonese

2

2 non-core

2

 1. HK$240
2. HK$320

25/11/09

6:30 - 10:00pm

 Overview of Investment Vehicles for Wealth Management

Cantonese

FULL

3.5

3.5 non-core

3.5

 1. HK$350
2. HK$455
Regulatory Series and Compliance Series
3/11/09
7:00 - 9:00pm

MPF Amendment Updates and Employment Ordinance & MPF

 Cantonese

2

2 core

2

 1. HK$200
2. HK$260
3/11/09
6:30 - 9:30pm

Handling Investigations by SFC

 Cantonese

3

3 non-core

-

 1. HK$360
2. HK$480
4/11/09
6:30 - 9:30pm		 Sales Compliance for Insurance Products

Cantonese

　

3

3 non-core

3

 1. HK$360
2. HK$480
6/11/09
6:30 - 9:30pm		 Regulatory Requirements for Financial Planners and Advisers

Cantonese

3

 3 core

3

 1. HK$300
2. HK$390
6/11/09
7:00 - 9:00pm		 MPF Regulations on Investment Restrictions and Guidelines

English

2

 2 core

2

 1. HK$200
2. HK$260

7/11/09

9:30am - 12:30pm &
1:30pm - 3:30pm

 Legal & Regulatory Issues on Mergers and Acquisitions

Cantonese

5

5 non-core

-

 1. HK$700
2. HK$950
10/11/09
6:30 - 9:30pm

Account Opening Documentation and Procedures

 Cantonese

3

3 non-core

-

 1. HK$300
2. HK$390
12/11/09
7:00 - 9:30pm		 Know your Client and Detection of Money Laundering

English

2.5

 2.5 non-core

-

 1. HK$300
2. HK$400
17/11/09 & 20/11/09
7:00 - 9:30pm		 Case Study Approach to SFC Regulatory Framework

English

5

5 non-core

-

 1. HK$600
2. HK$800
18/11/09
6:30 - 9:30pm		 Investigation and Disciplinary Matters In Relation To The SFC Cantonese

　

3

 3 non-core

-

 1. HK$360
2. HK$480
20/11/09
6:30 - 9:30pm

Investor Relation and Transparency Rules for Hong Kong Listed Companies

Cantonese

　

3

3 non-core

-

 1. HK$420
2. HK$570

23/11/09
6:30 - 9:30pm &

25/11/09

7:00 - 9:00pm

Insider Dealing & An Overview of the Securities and Futures Ordinance

Cantonese

FULL

5

 5 non-core

-

 1. HK$500
2. HK$650

24/11/09
6:30 - 9:30pm

Listing on the Exchange

　

Putonghua

FULL

3

3 non-core

-

 1. HK$360
2. HK$480

26/11/09
7:00 - 9:00pm &

27/11/09
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
26/11/09 & 30/11/09
7:00 - 9:30pm

Regulation of Futures Trading

English

5

5 non-core

-

 1. HK$500
2. HK$650

27/11/09
7:00 - 9:00pm

MPF Protection and Futures Outlook

English

2

 2 core

2

 1. HK$200
2. HK$260
Mainland China Series
10/11/09
7:00 - 9:30pm		 What to expect going north in the financial services?

Cantonese

2.5

2.5 non-core

-

 1. HK$300
2. HK$400
Executive Seminar / Workshop

20/11/09
9:00am - 1:00pm &

2:00 - 5:30pm

 Win-Win Negotiation in the 21st Century

English

　

7.5

7.5 non-core

-

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

21/11/09
9:30am - 12:30pm &

1:30pm - 4:30pm

 Internal Control, Fraud Risk Management and Regulatory Enforcement Updates

Cantonese

6

6 non-core

-

 1. HK$1,440
2. HK$1,920

24/11/09
9:00am - 1:00pm &
2:00pm - 5:30pm

Hedge Fund Strategies and Management

 

English
　

7.5

7.5 non-core

-

 1. HK$1,800
2. HK$2,400
Interactive Options Training Course Series (Joint programme with HKEx)
4/11/09
6:15pm - 7:45pm		 Course 1: Dynamics of Options

Cantonese


　

1.5

1.5 non-core

-

 1*. HK$200
2.  HK$265
3*. HK$620/
     HK$815
5/11/09
6:15pm - 8:15pm		 Course 2: Putting Views into Options Cantonese
　

2

2 non-core

-

 1*. HK$260
2.  HK$340
3*. HK$620/
     HK$815
9/11/09
5:15pm - 7:15pm		 Course 3: Understanding of Derivatives Clearing Cantonese
　

2

2 non-core

-

 1*. HK$220
2.  HK$290
3*. HK$620/
     HK$815
CCASS Training Course Series (Joint programme with HKEx)
9/11/09
9:30am - 11:30am		 Course 1: Understanding of Securities Clearing & Settlement Cantonese
　

2

2 non-core

-

 1*. HK$220
2.  HK$290
3*. HK$1,400/
     HK$1,820
12/11/09
9:30am - 12:30pm		 Course 2: Clearing & Settlement (Part I) Cantonese
　

3

3 non-core

-

 1*. HK$330
2.  HK$435
3*. HK$1,400/
     HK$1,820
12/11/09
2:30pm - 5:30pm		 Course 3: Clearing & Settlement (Part II) Cantonese
　

3

3 non-core

-

 1*. HK$330
2.  HK$435
3*. HK$1,400/
     HK$1,820
13/11/09
9:30am - 12:30pm		 Course 4: Depository & Nominee System (DNS) Cantonese
　

3

3 non-core

-

 1*. HK$330
2.  HK$435
3*. HK$1,400/
     HK$1,820
13/11/09
2:30pm - 5:30pm		 Course 5: Fails and Risk Management Cantonese
　

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)
9/11/09
5:15pm - 7:15pm		 Course 1: Understanding of Derivatives Clearing

Cantonese


　

2

2 non-core

-

 1*. HK$220
2.  HK$290
3*. HK$700/
     HK$910
20/11/09
9:30am - 12:30pm		 Course 2: DCASS Terminal Training

Cantonese

FULL

3

3 non-core

-

 1*. HK$330
2.  HK$435
3*. HK$700/
     HK$910
20/11/09
2:30pm - 4:30pm		 Course 3: CCMS Training

Cantonese

FULL

2

2 non-core

-

 1*. HK$220
2.  HK$290
3*. HK$700/
     HK$910
Joint programme with HKEx
24/11/09
5:30pm - 7:00pm		 HKATS Training Course Series – CLICK Workstation Training Course

English
FULL

-

-

-

1*. HK$150
2.  HK$195
27/11/09
5:00pm - 8:30pm		 AMS Terminal Training Course

Cantonese

　

-

-

-

 1*. HK$350
2. HK$455
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
November 2009 - March 2010 Intake Re-entrant Programme to Securities and Investment Markets English / Cantonese 57 1.HK$7,300
2.HK$8,580
November 2009 - February 2010 Intake Professional Certificate in Securities Dealing Cantonese 51 1. HK$5,280
2. HK$6,330
January - May 2010 Intake Professional Certificate in Derivatives Dealing Cantonese 51 1. HK$5,280
2. HK$6,330
February - March 2010 Intake RA 9 Asset Management Cantonese 15 1. HK$1,620
2. HK$1,940
January - March 2010 Intake RA 6 Advising on Corporate Finance Cantonese 24 1. HK$2,580
2. HK$3,090
September 2009 Intake 「金銀市場初級證書」課程 /「金銀市場高級證書」課程 (Chinese version only) Cantonese
 20 1. HK$3,600
2. HK$4,500
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 or Non-member
3. Package fee for HKSI Member or staff of HKSI corporate member
  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.
4. Package fee for HKSI Student Members or Non-member
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