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 |