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Date Series / Course Title Language CPT/CPD Hours Fees Enroll
SFC MPFA OCI
01/12/2016 18:30 - 21:00 & 02/12/2016 18:30 - 21:00 Regulatory and Compliance; Risk Management Regulation of Securities Trading (TPRCR16000902)
5 CPD hours recognized by GARP
Cantonese 5 - -

1. HK$1,000
2. HK$1,550

01/12/2016 18:30 - 21:30 & 05/12/2016 18:30 - 21:30 & 06/12/2016 18:30 - 21:30 & 12/12/2016 18:30 - 21:30 & 15/12/2016 18:30 - 21:30 & 05/01/2017 18:30 - 21:30 & 09/01/2017 18:30 - 21:30 & 12/01/2017 18:30 - 21:30 Regulatory and Compliance; Risk Management Back Office Fundamentals for Wealth & Asset Management Programme- Module 5: Compliance, Risk Management and Controls (TQRCR16003901)
Cantonese 24 - -

1. HK$6,000
2. HK$7,440

Enroll
01/12/2016 19:00 - 21:30 & 02/12/2016 19:00 - 21:30 Regulatory and Compliance Series Investment Sales Compliance (TPRCR16001502)
Cantonese 5 - -

1. HK$1,250
2. HK$1,800

02/12/2016 18:30 - 21:00 Regulatory and Compliance; Risk Management Know Your Client and Prevention of Money Laundering (TPRCR16001603)
English 2.5 - -

1. HK$625
2. HK$900

05/12/2016 18:30 - 20:30 General Industry & Business/Management Skills related Series The Implication of China’s “One Belt and One Road” Strategy (TPBBM16000102)
English 2 - -

1. HK$700
2. HK$1,000

05/12/2016 18:30 - 20:30 & 07/12/2016 18:30 - 20:30 Wealth Management Series CPWP Module 1 Refresher Programme: Topic 11 – Portfolio Management-Theories and Practices (TQPWM16001102)
* Package enrolment is not applicable to online booking
English 4 - -

1. HK$800 / *HK$3,420
2. HK$1,240 / *HK$4,050

Enroll
05/12/2016 18:30 - 21:30 Regulatory and Compliance; Risk Management Lessons Learned on Recent SFC Enforcement Cases (TPRCR16003403)
Cantonese 3 - -

1. HK$1,050
2. HK$1,500

06/12/2016 18:30 - 20:30 Regulatory and Compliance Series Regulatory Update – New Professional Investor Regime (TPRCR16003602)
Cantonese 2 - -

1. HK$500        2.HK$720

06/12/2016 18:30 - 20:30 Regulatory and Compliance Series AML Series: 2016 Anti-Money Laundering and Counter-Terrorist Financing Half Yearly Update (TPRCR16003304)
English 2 - -

1. HK$700
2. HK$1,000

07/12/2016 18:30 - 21:00 & 09/12/2016 18:30 - 21:00 Regulatory and Compliance Series Overview of Legal and Regulatory Framework for Securities and Futures Industry (TPRCR16003204)
OCI CPD hours will not be granted for those who have not completed the full 5-hour session.
English 5 - 5

1. HK$1,000
2. HK$1,550

Enroll
07/12/2016 18:30 - 20:30 Regulatory and Compliance; Risk Management 認識你的客戶 (TPRCR16003503)
Putonghua 2 - -

1. HK$400
2. HK$620

Enroll
09/12/2016 18:30 - 21:00 Regulatory and Compliance; Risk Management Insider Dealing (TPRCR16001402)
Cantonese 2.5 - -

1. HK$625
2. HK$900

Enroll
09/12/2016 18:30 - 21:30 Regulatory and Compliance; Risk Management Due Diligence in an Equity Offering Process (TPRCR16001102)
Cantonese 3 - -

1. HK$750
2. HK$1,080

Enroll
12/12/2016 18:30 - 21:30 General Industry & Business/Management Skills related Series Chinese Capital Market Financial Reform (TPBME16000202)
Cantonese 3 - -

1. HK$1,755
2. HK$2,430

Enroll
12/12/2016 18:30 - 21:30 & 15/12/2016 18:30 - 21:30 Specific Industry sectors & Products Understanding OTC Derivatives (TPPFR16001501)
Cantonese 6 - -

1. HK$1,200
2. HK$1,860

Enroll
14/12/2016 12:00 - 14:00 Specific Industry sectors & Products Asset Management Industry The Year 2016 and beyond (TPPAM16000401)
English 2 - -

1. HK$1,170
2. HK$1,620

Enroll
14/12/2016 18:30 - 21:00 Regulatory and Compliance; Risk Management A High Level Review of the Regulatory Trends in the Securities Industry (TPRCR16004102)
Cantonese 2.5 - -

1. HK$875
2. HK$1,250

Enroll
15/12/2016 18:30 - 21:30 Regulatory and Compliance; Risk Management Lessons Learned on Recent SFC Enforcement Cases (TPRCR16003404)
English 3 - -

1. HK$1,050
2. HK$1,500

Enroll
16/12/2016 18:30 - 20:30 General Industry & Business/Management Skills related Series An Overview of the Evolution of Internet Finance in China (TPBBM16000202)
Cantonese 2 - -

1. HK$1,170
2. HK$1,620

Enroll
16/12/2016 18:30 - 21:00 Regulatory and Compliance; Risk Management 上市公司董事面對的監管新趨勢 (TPRCR16004003)
Putonghua 2.5 - -

1. HK$875
2. HK$1,250

Enroll
16/12/2016 18:30 - 21:30 Regulatory and Compliance; Risk Management Regulatory Insight – Power of Investigation and Prosecution of the SFC (TPRCR16002002)
Cantonese 3 - -

1. HK$750
2. HK$1,080

Enroll
Note: 1

HKSI Institute Individual Member (M0001/FM00001), Student Member (U00001) or staff of HKSI Institute corporate member (C00001)

1*

HKSI Institute Individual Member (M0001/FM00001), Student Member (U00001) or staff of HKSI Institute corporate member (C00001)or Exchange Participants of HKEx

2 Standard Price (for Public)



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

All fees shown are in HK$ unless otherwise indicated.
Course fees are subject to change without prior notice.