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Calendar DetailsCurrent Month

01/12/2016

Back Office Fundamentals for Wealth & Asset Management Programme- Module 5: Compliance, Risk Management and Controls (TQRCR16003901)

01/12/2016

Investment Sales Compliance (TPRCR16001502)

01/12/2016

Regulation of Securities Trading (TPRCR16000902)

02/12/2016

Study Mission to Macau (for Members only)

02/12/2016

Investment Sales Compliance (TPRCR16001502)

02/12/2016

Know Your Client and Prevention of Money Laundering (TPRCR16001603)

02/12/2016

Regulation of Securities Trading (TPRCR16000902)

05/12/2016

Back Office Fundamentals for Wealth & Asset Management Programme- Module 5: Compliance, Risk Management and Controls (TQRCR16003901)

05/12/2016

CPWP Module 1 Refresher Programme: Topic 11 – Portfolio Management-Theories and Practices (TQPWM16001102)

05/12/2016

Lessons Learned on Recent SFC Enforcement Cases (TPRCR16003403)

05/12/2016

The Implication of China’s “One Belt and One Road” Strategy (TPBBM16000102)

06/12/2016

AML Series: 2016 Anti-Money Laundering and Counter-Terrorist Financing Half Yearly Update (TPRCR16003304)

06/12/2016

Back Office Fundamentals for Wealth & Asset Management Programme- Module 5: Compliance, Risk Management and Controls (TQRCR16003901)

06/12/2016

Regulatory Update – New Professional Investor Regime (TPRCR16003602)

07/12/2016

CPWP Module 1 Refresher Programme: Topic 11 – Portfolio Management-Theories and Practices (TQPWM16001102)

07/12/2016

MPF Intermediaries Examination

07/12/2016

Overview of Legal and Regulatory Framework for Securities and Futures Industry (TPRCR16003204)

07/12/2016

認識你的客戶 (TPRCR16003503)

09/12/2016

Due Diligence in an Equity Offering Process (TPRCR16001102)

09/12/2016

Insider Dealing (TPRCR16001402)

09/12/2016

Overview of Legal and Regulatory Framework for Securities and Futures Industry (TPRCR16003204)

12/12/2016

Back Office Fundamentals for Wealth & Asset Management Programme- Module 5: Compliance, Risk Management and Controls (TQRCR16003901)

12/12/2016

Chinese Capital Market Financial Reform (TPBME16000202)

12/12/2016

Understanding OTC Derivatives (TPPFR16001501)

13/12/2016

A Journey of Key Intermediaries Compliance Matters

14/12/2016

A High Level Review of the Regulatory Trends in the Securities Industry (TPRCR16004102)

14/12/2016

Asset Management Industry The Year 2016 and beyond (TPPAM16000401)

15/12/2016

Jointly organised by APSA and HKSI Institute: Green Bonds – Market Update and Outlook

15/12/2016

Back Office Fundamentals for Wealth & Asset Management Programme- Module 5: Compliance, Risk Management and Controls (TQRCR16003901)

15/12/2016

Lessons Learned on Recent SFC Enforcement Cases (TPRCR16003404)

15/12/2016

Understanding OTC Derivatives (TPPFR16001501)

16/12/2016

An Overview of the Evolution of Internet Finance in China (TPBBM16000202)

16/12/2016

Regulatory Insight – Power of Investigation and Prosecution of the SFC (TPRCR16002002)

16/12/2016

上市公司董事面對的監管新趨勢 (TPRCR16004003)