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November 2018

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1
Nov
12:20 - 13:20
1 Lesson
New
Public
Investment and Portfolio Analysis
Value of a Thing Is What It Will Bring: Valuation of Young Businesses
Language:
Cantonese
SFC:1.0 PWMA:1.0
New
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1
Nov
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
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1
Nov
18:30 - 20:30
1 Lesson
Qualification programme
Wealth Management
Certified Private Wealth Professional (CPWP) Module 1 Refresher Programme Topic 9 – Lending and Leverage
Language:
English
SFC:2.0 PWMA:2.0
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2
Nov
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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5
Nov
18:30 - 21:00
2 Lessons
Public
Compliance, Legislative & Regulatory Standards
Duties and Liabilities of Responsible Officers
Language:
Cantonese
SFC:5.0 PWMA:5.0
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5
Nov
18:30 - 21:30
1 Lesson
Public
(Specific) Risk Management & Control Strategy
當前環境下的資產配置重點
Language:
Cantonese
SFC:3.0 PWMA:3.0
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5
Nov
18:30 - 21:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
防洗錢、最新監管要求及行為規範
Language:
Cantonese
SFC:3.0 PWMA:3.0
Full
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6
Nov
18:30 - 21:30
1 Lesson
Public
Financial Products & Associated Risk Management
Understanding Stock Option
Language:
Cantonese
SFC:3.0 PWMA:3.0
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6
Nov
18:30 - 21:00
2 Lessons
New
Public
Compliance, Legislative & Regulatory Standards
SFO Refresher Course - IPO Sponsors in Hong Kong
Language:
English
SFC:5.0 PWMA:5.0
New
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6
Nov
18:30 - 20:30
2 Lessons
Qualification programme
Wealth Management
Certified Private Wealth Professional (CPWP) Module 1 Refresher Programme Topic 5 – Derivatives
Language:
English
SFC:4.0 PWMA:4.0
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8
Nov
18:30 - 21:00
1 Lesson
New
Public
Asset Management
Multi-Asset Strategy: The Future Investment Management
Language:
English
SFC:2.5 PWMA:2.5
New
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9
Nov
12:20 - 13:20
1 Lesson
New
Seminar
Regulatory Update Series
Introducing Hong Kong's New Corporate Fund Structure: Open-ended Fund Companies
Language:
English
SFC:1.0 PWMA:1.0
New Seminar Full
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12
Nov
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 IA/OCI:5.0
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14
Nov
12:30 - 14:00
1 Lesson
New
Public
Compliance, Legislative & Regulatory Standards
Sponsor's Due Diligence
Language:
Cantonese
SFC:1.5 PWMA:1.5
New
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14
Nov
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
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14
Nov
18:30 - 20:30
1 Lesson
Qualification programme
Wealth Management
Certified Private Wealth Professional (CPWP) Module 1 Refresher Programme Topic 1 – Overview of PWM Industry, Products and Services
Language:
English
SFC:2.0 PWMA:2.0
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15
Nov
12:30 - 14:00
1 Lesson
New
Public
Compliance, Legislative & Regulatory Standards
Case Studies for Sponsor's Due Diligence
Language:
Cantonese
SFC:1.5 PWMA:1.5
New
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15
Nov
18:30 - 22:00
1 Lesson
Dinner
Autumn Dinner
Autumn Dinner 2018
Language:
English
All Member:
HK$2000
Full
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15
Nov
18:30 - 22:00
1 Lesson
Dinner
Autumn Dinner
Autumn Dinner 2018 (By Invitation Only)
Language:
English
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19
Nov
18:30 - 21:30
1 Lesson
Public
Macro & Micro Economic Analysis
國內外市場趨勢分析
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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19
Nov
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:
Cantonese
SFC:5.0 PWMA:5.0 IA/OCI:5.0
All Member:
HK$1050
Staff of Corporate Member:
HK$1050
Non-Member:
HK$2100
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19
Nov
18:30 - 21:30
1 Lesson
Qualification programme
Wealth Management
Certified Private Wealth Professional (CPWP) Module 1 Refresher Programme Topic 14 – Customer Relationship Management
Language:
English
SFC:3.0 PWMA:3.0
All Member:
HK$630
Staff of Corporate Member:
HK$630
Non-Member:
HK$1260
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20
Nov
12:20 - 13:20
1 Lesson
New
Seminar
Others
Green Bonds and Loans – An Introduction for Investors
Language:
English
SFC:1.0 PWMA:1.0
All Member:
HK$210
Staff of Corporate Member:
HK$210
Non-Member:
HK$420
New Seminar
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21
Nov
18:30 - 21:30
1 Lesson
New
Public
Compliance, Legislative & Regulatory Standards
Prosecution Cases and Latest Update on Anti-Money Laundering
Language:
English
SFC:3.0 PWMA:3.0
All Member:
HK$750
Staff of Corporate Member:
HK$750
Non-Member:
HK$1500
New
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APPLY ONLINE
22
Nov
18:30 - 21:00
2 Lessons
Public
Compliance, Legislative & Regulatory Standards
Asset Management Fundamentals Module 3: Regulation of Asset Management (5-hour intensive class)
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
22
Nov
18:30 - 21:30
1 Lesson
New
Public
Compliance, Legislative & Regulatory Standards
Sponsor’s Due Diligence and Case Studies
Language:
Cantonese
SFC:3.0 PWMA:3.0
All Member:
HK$750
Staff of Corporate Member:
HK$750
Non-Member:
HK$1500
New
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22
Nov
18:30 - 20:30
2 Lessons
Qualification programme
Wealth Management
Certified Private Wealth Professional (CPWP) Module 1 Refresher Programme Topic 6 – Structured Products
Language:
English
SFC:4.0 PWMA:4.0
All Member:
HK$840
Staff of Corporate Member:
HK$840
Non-Member:
HK$1680
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APPLY ONLINE
23
Nov
18:30 - 21:00
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
A High Level Review of the Regulatory Trends in the Securities Industry (2018)
Language:
Cantonese
SFC:2.5 PWMA:2.5
All Member:
HK$625
Staff of Corporate Member:
HK$625
Non-Member:
HK$1250
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23
Nov
18:30 - 20:30
1 Lesson
Public
(Specific) Financial Products & Associated Risk Management
Crypto – Beyond Bitcoin
Language:
Cantonese
SFC:2.0 PWMA:2.0
All Member:
HK$420
Staff of Corporate Member:
HK$420
Non-Member:
HK$840
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26
Nov
18:30 - 21:30
1 Lesson
New
Public
Financial Products & Associated Risk Management
從認識黑天鵝，灰犀牛和房間裏的大象的市場事件，分析金融危機的原因和預警方法
Language:
Cantonese
SFC:3.0 PWMA:3.0
All Member:
HK$750
Staff of Corporate Member:
HK$750
Non-Member:
HK$1500
New
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26
Nov
18:30 - 20:30
1 Lesson
Qualification programme
Wealth Management
Certified Private Wealth Professional (CPWP) Module 1 Refresher Programme Topic 8 – Unit Trusts and Investment Funds
Language:
English
SFC:2.0 PWMA:2.0
All Member:
HK$420
Staff of Corporate Member:
HK$420
Non-Member:
HK$840
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APPLY ONLINE
27
Nov
12:00 - 14:15
1 Lesson
New
Luncheon
SFC Chief Executive Officer
HKSI Institute Roundtable Luncheon Series: Luncheon with Chief Executive Officer of SFC
Language:
English
SFC:1.0 PWMA:1.0
All Member:
HK$880
Staff of Corporate Member:
HK$880
Non-Member:
HK$1180
New Full
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27
Nov
18:30 - 20:30
1 Lesson
Public
(Specific) Financial Products & Associated Risk Management
Blockchain Basics
Language:
English
SFC:2.0 PWMA:2.0
All Member:
HK$420
Staff of Corporate Member:
HK$420
Non-Member:
HK$840
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27
Nov
18:30 - 20:30
2 Lessons
Qualification programme
Wealth Management
Certified Private Wealth Professional (CPWP) Module 1 Refresher Programme Topic 7 – Alternative Investments
Language:
English
SFC:4.0 PWMA:4.0
All Member:
HK$840
Staff of Corporate Member:
HK$840
Non-Member:
HK$1680
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29
Nov
18:30 - 20:30
2 Lessons
Qualification programme
Wealth Management
Certified Private Wealth Professional (CPWP) Module 1 Refresher Programme Topic 11 – Portfolio Management – Theories and Practices
Language:
English
SFC:4.0 PWMA:4.0
All Member:
HK$840
Staff of Corporate Member:
HK$840
Non-Member:
HK$1680
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30
Nov
18:30 - 21:00
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
Market Manipulation & Related Disciplinary Issues
Language:
Cantonese
SFC:2.5 PWMA:2.5 GARP:2.5
All Member:
HK$625
Staff of Corporate Member:
HK$625
Non-Member:
HK$1250
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APPLY ONLINE
30
Nov
18:30 - 21:30
1 Lesson
New
Public
Financial Products & Associated Risk Management
Derivatives Market Reform and Outlook
Language:
Cantonese
SFC:3.0 PWMA:3.0
All Member:
HK$750
Staff of Corporate Member:
HK$750
Non-Member:
HK$1500
New
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Development