Classroom Training - by series
Asset and Wealth Management
| AML Series - Common Deficiencies of the Securities & Asset Management Industry |
| Asset Management Fundamentals - Module 1 Overview of Legal & Regulatory Framework for Securities & Futures Industry |
| Asset Management Fundamentals - Module 2 Financial Markets |
| Asset Management Fundamentals - Module 3 Regulation of Asset Management |
| Asset Management Fundamentals - Module 4 Asset Management |
| Asset Management Industry: The Year 2017 and beyond |
| Back Office Fundamentals - Module 1 Overview of Legal & Regulatory Framework for Securities & Futures Industry |
| Back office fundamentals - Module 2 Financial Markets |
| Back office fundamentals - Module 3 Dealing, Clearing and Settlement practices |
| Back office fundamentals - Module 4 Operational requirement under the SFO |
| Back office fundamentals - Module 5 Compliance, Risk Management & Controls |
| CPWP Module 1 - Topic 1 - Overview of PWM Industry, Products & Services |
| CPWP Module 1 - Topic 2 - Fixed Income Investment |
| CPWP Module 1 - Topic 3 - Equity Securities |
| CPWP Module 1 - Topic 4 - Foreign Exchange |
| CPWP Module 1 - Topic 5 - Derivatives |
| CPWP Module 1 - Topic 6 - Structured Products |
| CPWP Module 1 - Topic 7 - Alternative Investments |
| CPWP Module 1 - Topic 8 - Unit Trust and Investment Funds |
| CPWP Module 1 - Topic 9 - Lending & Leverages |
| CPWP Module 1 - Topic 10 - Wealth Planning |
| CPWP Module 1 - Topic 11 - Portfolio Management - Theories and Practices |
| CPWP Module 1 - Topic 12 - Behavioural Finance |
| CPWP Module 1 - Topic 13 - Mainland China and Asia-Pacific Financial & PWM Markets |
| CPWP Module 1 - Topic 14 - Customer Relationship Management |
| Revision Course for CPWP |
| Revision Course for CPWP Module 1 Paper 2 |
Compliance
| Default Investment Strategy (DIS) Training for MPF Intermediaries |
| Due Diligence in an Equity Offering Process |
| Duties and Liabilities of Responsible Officers |
| Enhanced Regulation of MPF Intermediaries and Conduct Requirements of MPF Intermediaries |
| Financial Statement, free Cash Flow and Valuation Modelling |
| Fundamentals of Anti-Money Laundering and Counter-Terrorist Financing |
| How to design & implement an effective AML/CTF programme |
| Insider Dealing |
| Integrity @ work |
| Investment Sales Compliance |
| Know your Client and Prevention of Money Laundering |
| Lessons learned on recent SFC enforcement cases |
| Market Manipulation and Related Disciplinary Issues |
| MPF Series - Sales Compliance and Recent Development |
| Overview of Legal and Regulatory Framework for Securities and Futures Industry (Cantonese class) |
| Overview of Legal and Regulatory Framework for Securities and Futures Industry (English class) |
| Regulation of Futures Trading |
| Regulation of Leveraged Foreign Exchange Trading |
| Regulation of Securities Trading |
| Regulatory Insight - Power of Investigation and Prosecution of the SFC |
| Regulatory Update on AML, Selling Practices and Code of Conduct |
| SFO Series - Client Money Rules |
| SFO Series - Disclosure of Interests |
| SFO Series - Financial Resources Rules |
| SFO Series - Requirements for Back Office Operations |
| The Code, Practice & Impact of Corporate Governance |
| Understanding Financial Shenanigans Series II - Understanding Financial Gimmicks |
| 上市公司董事面對的監管新趨勢 |
| 合適性與新專業投資者制度 |
| 認識你的客戶 |
General Industry & Business/Management Skills related
| An Overview of the Evolution of Internet Finance in China |
| Capital Market Update: Managing Risks and Exploring Opportunities |
| China Capital Markets Financial Reform |
| Hong Kong and Qianhai Financial Consolidation – Opportunities and Risks |
| The Implication of China "One Belt and One Road" Strategy |
| What to Read in a Company Research Report |
Risk Management
| Analyzing Property Stocks |
| Bond Market Fundamentals |
| Capital Market Liquidity Risk Management |
| Commercial Lending and Credit Analysis |
| Corporate Finance - Ratio Analysis as Effective Investment and Management Tools |
| Corporate Finance - Strategic Working Capital Management |
| Counterparty Credit Risk Management |
| Debt Securities |
| Derivatives Investment Products |
| Financial Statements Analysis |
| Fraud Risk Management |
| Fundamentals of Credit Rating |
| Fundamentals of Investment Banking |
| Fundamentals of Private Equity |
| How to Identify Financial Statement Fraud |
| Interest Rate Market Fundamentals |
| Internal Control, Fraud Risk Management and Regulatory Enforcement Updates |
| Investing in Warrants |
| Investment Linked Insurance Products |
| Liquidity and Treasury Management (Part I) |
| Liquidity and Treasury Management (Part II) |
| Liquidity Risk Management |
| Mastering Index Options |
| Overview of Treasury Products |
| Portfolios Performance Evaluation |
| Professional Real Estate Investment Strategy |
| Risk Management Framework for Banking and Financial Services Industry |
| The Behavioral Finance Approach to Asset Allocation |
| Understanding Asset Allocation |
| Understanding Equity-Linked Notes (ELN) |
| Understanding Funds Investment and Alternatives Investment |
| Understanding Hedge Funds |
| Understanding Interest Rate Swaps |
| Understanding OTC Derivatives |
| Understanding RMB Bonds |
| Understanding RMB Internationalization and the Offshore RMB Market |
| Understanding Stock Options |
| Understanding Venture Capital |
| Understanding Volatility |
| Value Investing Explained |
Specific Industry Sectors and Products
| Chinese securitisation development and risks |
| FinTech Series: The Future of A.I. in FinTech |
| Managing & Trading in Today’s Volatility |
| Managing Risks with Financial Derivatives |
| Strategies for Intra-day trading |
| Structured Products - key features and risks |
| Suitability Obligations – Frequently Asked Questions |
| Understanding the Greeks |
| Understanding the Structure and Risks of Credit Derivatives |