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July 2018

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4
Jul
18:30 - 21:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
Selling and Suitability Process - Practical Guide for Private Banking
Language:
Cantonese
SFC:3.0 PWMA:3.0
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4
Jul
18:30 - 21:00
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
Insider Dealing
Language:
Cantonese
SFC:2.5 PWMA:2.5
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8
Jul
15:00 - 17:00
1 Lesson
Full
Members Event
Young Professionals Club
Meet Our Leaders - Mr Stephen Hui
Language:
English
Full
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10
Jul
12:20 - 13:20
1 Lesson
Seminar
Economic & Market Outlook Series
Next Source of Growth for Investment Managers: Is Multi-Asset Strategy the answer?
Language:
English
SFC:1.0 PWMA:1.0
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10
Jul
18:45 - 20:00
1 Lesson
Members Event
Networking Event
July Tuesday Drinks @ Grappa's
Language:
Putonghua,Cantonese,English
Admission Fee:
HK$0
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11
Jul
17:30 - 19:00
1 Lesson
Joint programme
Operations
HKATS Training Course Series – Rules and Trading Procedures
Language:
Cantonese
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12
Jul
17:30 - 19:00
1 Lesson
Joint programme
Operations
HKATS Training Course Series – OAPI and CLICK Workstation Training Course
Language:
Cantonese
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18
Jul
18:30 - 21:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
Regulatory Insight – Power of Investigation and Prosecution of the SFC
Language:
Cantonese
SFC:3.0 PWMA:3.0
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25
Jul
18:30 - 21:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
SFO Series - Disclosure of Interests
Language:
Cantonese
SFC:3.0 PWMA:3.0
All Member:
HK$750
Staff of Corporate Member:
HK$750
Non-Member:
HK$1500
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APPLY ONLINE
27
Jul
18:30 - 21:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
Lessons Learned on Recent SFC Enforcement Cases
Language:
Cantonese
SFC:3.0 PWMA:3.0
All Member:
HK$750
Staff of Corporate Member:
HK$750
Non-Member:
HK$1500
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APPLY ONLINE
27
Jul
18:30 - 21:30
1 Lesson
Public
(Compliance) Risk Mngt & Control Strategy
Cybersecurity - Regulatory Requirements, Challenges and Best Practices
Language:
Cantonese
SFC:3.0 PWMA:3.0
All Member:
HK$750
Staff of Corporate Member:
HK$750
Non-Member:
HK$1500
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APPLY ONLINE
30
Jul
18:30 - 21:00
2 Lessons
Public
Compliance, Legislative & Regulatory Standards
Overview of Legal and Regulatory Framework for Securities and Futures Industry (5 hour Intensive Class) 證券及期貨法規及監管架構概述 (5小時精讀班)
Language:
English
SFC:5.0 PWMA:5.0
All Member:
HK$1050
Staff of Corporate Member:
HK$1050
Non-Member:
HK$2100
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APPLY ONLINE
30
Jul
18:30 - 21:00
2 Lessons
Public
Compliance, Legislative & Regulatory Standards
Duties and Liabilities of Responsible Officers
Language:
English
SFC:5.0 PWMA:5.0
All Member:
HK$1250
Staff of Corporate Member:
HK$1250
Non-Member:
HK$2500
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APPLY ONLINE
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