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Calendar DetailsCurrent Month

01/09/2015

Account Opening Documentation and Procedures

07/09/2015

Investment Sales Compliance

07/09/2015

Managing Risks with Financial Derivatives

08/09/2015

Investment Sales Compliance

09/09/2015

MPF Intermediaries Examination

09/09/2015

Managing Risks with Financial Derivatives

09/09/2015

Market Manipulation & Related Disciplinary Issues

10/09/2015

Overview of Legal and Regulatory Framework for Securities and Futures Industry

10/09/2015

Regulatory requirement for Anti-Money Laundering (AML) and Selling Practices

11/09/2015

Overview of Legal and Regulatory Framework for Securities and Futures Industry

14/09/2015

Analysing Property Stocks

14/09/2015

Corporate Failure – Lessons Learned

14/09/2015

Risk Management Framework for Banking and Financial Services Industry

15/09/2015

Fraud Risk Management

15/09/2015

Topic 2 – Fixed Income Investments

17/09/2015

Due Diligence in an Equity Offering Process

17/09/2015

Topic 3 – Equity Securities

18/09/2015

Mainland Mission to Shenzhen & Hengqin [FULL]

19/09/2015

CIIA Final Exam 1

19/09/2015

CIIA Final Exam 2

19/09/2015

CIWM Final Exam Paper 1

19/09/2015

CIWM Final Exam Paper 2

22/09/2015

In-town Guest Series
Japan Revitalization Strategy (Growth Strategy) 2015 - Productivity Revolution by Investment for the Future

22/09/2015

How to Design & Implement an Effective AML/CTF Programme

22/09/2015

SFO Refresher Course - IPO Sponsors in Hong Kong

23/09/2015

Overview of Legal and Regulatory Framework for Securities and Futures Industry

23/09/2015

SFO Refresher Course - IPO Sponsors in Hong Kong

23/09/2015

Topic 4 - Foreign Exchange

25/09/2015

Fundamentals of Credit Rating

25/09/2015

Overview of Legal and Regulatory Framework for Securities and Futures Industry

25/09/2015

Regulatory Insight – Power of Investigation and Prosecution of the SFC