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December 2018

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3
Dec
18:30 - 21:00
2 Lessons
Public
Compliance, Legislative & Regulatory Standards
SFO Refresher Course - IPO Sponsors in Hong Kong
Language:
Cantonese
SFC:5.0 PWMA:5.0
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3
Dec
18:30 - 21:30
1 Lesson
New
Public
Financial Products & Associated Risk Management
2019 Investment Theme and Investment Risk
Language:
Cantonese
SFC:3.0 PWMA:3.0
New
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3
Dec
18:30 - 21:30
1 Lesson
Qualification programme
Wealth Management
Certified Private Wealth Professional (CPWP) Module 1 Refresher Programme Topic 12 – Behavioural Finance
Language:
English
SFC:3.0 PWMA:3.0
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4
Dec
18:30 - 20:30
1 Lesson
Members Event
Mentoring Programme
Mentoring Programme Graduation and Welcome Cocktails
Language:
English
All (Member & Non-Member):
HK$0
Staff of Corporate Member:
HK$0
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5
Dec
12:20 - 13:20
1 Lesson
New
Seminar
Others
A Dialogue with Mr Andrew Weir, HKEX Listing Committee Chairman
Language:
English
SFC:1.0 PWMA:1.0
New Closed to Media Seminar Full
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5
Dec
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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5
Dec
18:30 - 21:30
1 Lesson
Qualification programme
Wealth Management
Certified Private Wealth Professional (CPWP) Module 1 Refresher Programme Topic 13 – Mainland China and Asia-Pacific Financial and PWM Markets
Language:
English
SFC:3.0 PWMA:3.0
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6
Dec
18:30 - 21:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
Regulatory Insight – Power of Investigation and Prosecution of the SFC
Language:
English
SFC:3.0 PWMA:3.0
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6
Dec
18:30 - 20:30
1 Lesson
Public
(Specific) Financial Products & Associated Risk Management
Fundamentals of Hong Kong Listed Equity Options
Language:
Cantonese
SFC:2.0 PWMA:2.0
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6
Dec
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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7
Dec
18:30 - 21:30
1 Lesson
New
Public
Financial Products & Associated Risk Management
投資銀行業務創新和發展
Language:
Cantonese
SFC:3.0 PWMA:3.0
New
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7
Dec
18:30 - 21:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
SFO Series - Disclosure of Interests
Language:
Cantonese
SFC:3.0 PWMA:3.0
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10
Dec
18:30 - 21:00
2 Lessons
Public
Compliance, Legislative & Regulatory Standards
Regulation of Securities Trading
Language:
Cantonese
SFC:5.0 PWMA:5.0
All Member:
HK$1050
Staff of Corporate Member:
HK$1050
Non-Member:
HK$2100
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10
Dec
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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10
Dec
18:30 - 21:30
1 Lesson
Qualification programme
Wealth Management
Certified Private Wealth Professional (CPWP) Module 1 Refresher Programme Topic 10 – Wealth Planning
Language:
English
SFC:3.0 PWMA:3.0
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11
Dec
12:20 - 13:20
1 Lesson
New
Seminar
Others
The Future of Transacting is in the Palm of Your Hands - Myth or Reality?
Language:
English
SFC:1.0 PWMA:1.0
New Seminar
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13
Dec
18:30 - 21:30
1 Lesson
New
Public
Compliance, Legislative & Regulatory Standards
HK IPO: New Listing Requirements, Offering Structures and Application Procedures
Language:
Cantonese
SFC:3.0 PWMA:3.0
New Full
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13
Dec
18:30 - 20:30
1 Lesson
Public
Investment and Portfolio Analysis
Portfolio Management: How Roboadvisors Apply Modern Portfolio Theory
Language:
English
SFC:2.0 PWMA:2.0
Full
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14
Dec
18:30 - 21:00
1 Lesson
New
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
New
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17
Dec
12:00 - 14:00
1 Lesson
New
Public
Asset Management
Asset Management Industry: The Year 2018 and beyond
Language:
English
SFC:2.0 PWMA:2.0
All Member:
HK$500
Staff of Corporate Member:
HK$500
Non-Member:
HK$1000
New
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APPLY ONLINE
17
Dec
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
Full
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18
Dec
18:30 - 21:30
1 Lesson
Public
Compliance, Legislative & Regulatory Standards
Lessons Learned on Recent SFC Enforcement Cases
Language:
English
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
18
Dec
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
All Member:
HK$1250
Staff of Corporate Member:
HK$1250
Non-Member:
HK$2500
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APPLY ONLINE
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