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September 2023

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6
Sep
12:00 - 13:00
1 Lesson
Seminar/Luncheon
GBA/China Series
[網上研討會] 恒生港股通中國國資央企指數及ESG如何推動中國央企創造價值
Language:
Simp. Chi / Putonghua
SFC:1.00 PWMA:1.00
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7
Sep
12:30 - 13:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
[Webinar] Regulatory Requirements when Selling Complex and Virtual-Assets ("VA") Related Products
Language:
English
SFC:1.00 PWMA:1.00
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13
Sep
12:00 - 14:00
1 Lesson
Seminar/Luncheon
Compliance
[In-person] SFC Manager-In-Charge Regime Roundtable – Virtual Asset Service Providers
Language:
English
SFC:2.00 PWMA:2.00
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14
Sep
12:30 - 13:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
[Webinar] Essentials of Responsible Officers
Language:
English
SFC:1.00 PWMA:1.00
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15
Sep
09:00 - 17:30
1 Lesson
Visit
Mainland China
Study Mission to Shenzhen (Members Only)
Language:
Simp. Chi / Putonghua
SFC:4.00 PWMA:4.00
Full Limited seats
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15
Sep
18:30 - 21:00
1 Lesson
Public
(Specific) Risk Management & Control Strategy
[Webinar] Latest Development and Risk Management of Financial Markets in Hong Kong
Language:
Trad. Chi / Cantonese
SFC:2.50 PWMA:2.50
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18
Sep
18:30 - 21:00
4 Lessons
Qualification programme
Compliance, Legislative & Regulatory Standards
[Webinar] Asset Management Fundamentals Programme Module 1: Overview of Legal and Regulatory Framework for Securities & Futures Industry (10 hour class)
Language:
Trad. Chi / Cantonese
SFC:10.00 PWMA:10.00
All Member:
HK$2300
Staff of Corporate Member:
HK$2300
Student Member (UHKSI):
HK$1100
Non-Member:
HK$4600
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19
Sep
12:00 - 13:00
1 Lesson
Public
(Compliance) Risk Mngt & Control Strategy
[Webinar] ERM Fundamentals: Building a Strong Risk Management Foundation
Language:
English
SFC:1.00 PWMA:1.00
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21
Sep
12:20 - 13:20
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
[Webinar] Recap on Client Assets Protection and Third-Party Deposits and Payments
Language:
English
SFC:1.00 PWMA:1.00
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21
Sep
18:30 - 21:30
1 Lesson
Public
Business Conduct & Ethical Standards
[Webinar] SFC Important Codes and Guidelines on Business Conduct
Language:
Trad. Chi / Cantonese
SFC:3.00 PWMA:3.00
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22
Sep
12:00 - 14:00
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
[Webinar] Latest Enforcement Cases Relating to Suitability Requirement
Language:
Trad. Chi / Cantonese
SFC:2.00 PWMA:2.00
All Member:
HK$460
Staff of Corporate Member:
HK$460
Student Member (UHKSI):
HK$220
Non-Member:
HK$920
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25
Sep
12:30 - 13:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
[Webinar] An Update on the Sale of Debt Instruments with Loss-Absorption Features and Other Investment Products
Language:
English
SFC:1.00 PWMA:1.00
All Member:
HK$280
Staff of Corporate Member:
HK$280
Non-Member:
HK$560
New
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25
Sep
18:30 - 21:00
2 Lessons
Public
Compliance, Legislative & Regulatory Standards
[In-person] Duties and Liabilities of Responsible Officers
Language:
English
SFC:5.00 PWMA:5.00
All Member:
HK$1400
Staff of Corporate Member:
HK$1400
Non-Member:
HK$2800
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APPLY ONLINE
26
Sep
13:00 - 14:00
1 Lesson
Seminar/Luncheon
Compliance
[Webinar] Managing Fraud and Money Laundering Risks in Virtual Asset Trading
Language:
English
SFC:1.00 PWMA:1.00
All Member:
HK$280
Staff of Corporate Member:
HK$280
Non-Member:
HK$560
New
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APPLY ONLINE
26
Sep
18:30 - 20:00
1 Lesson
Members Event
Networking Event
[Celebrate the Mid-Autumn Festival] Networking Happy Hour!
Language:
Simp. Chi / Putonghua,Trad. Chi / Cantonese,English
All Member:
HK$180
Staff of Corporate Member:
HK$180
Members Only Networking
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Development