Back Office Fundamentals for Wealth & Asset Management Programme

This training series is dedicated to those who plan to enter into the operations function of asset or wealth management companies. The 90-hour training is designed to help people who do not have any knowledge and experience regarding in respect of how asset or wealth management operates. Upon successful completion of all FIVE modules, you will be awarded the Certificate of Completion for this programme.

You can choose to enrol in the particular module(s) that you are interested in.  Participants are required to attend and complete all classes specified by each module.  Attendance record will be issued based on your actual attendance record.

Module Hours

1. Overview of Legal and Regulatory Framework for Securities & Futures Industry (*)


2. Financial Markets (*)


3. Dealing, Clearing and Settlement Practices


4. Operational requirements under SFO


5. Compliance, Risk Management and Controls

Total 90

 * Shared modules with another programme called "Asset Management Fundamentals".