CPT Course Catalog
Browse available courses for SFC Continuous Professional Training.
Annual AML/CFT Compliance Update
3.0hComprehensive update on anti-money laundering and counter-financing of terrorism regulations, covering recent SFC enforcement actions and revised guidelines.
Code of Conduct for Licensed Persons
2.0hReview of the SFC Code of Conduct, focusing on suitability obligations, client asset protection, and conflict of interest management.
ESG Integration in Portfolio Management
2.0hPractical guide to integrating ESG factors into investment analysis and portfolio construction, aligned with SFC climate-related disclosure requirements.
Suitability Requirements for Complex Products
1.5hDeep dive into SFC suitability requirements when distributing complex products including derivatives, structured products, and virtual assets.
Fund Management & Regulatory Updates
2.0hLatest regulatory developments affecting fund management in Hong Kong, including SFC Fund Manager Code of Conduct and OFC regime updates.
RO Supervisory Responsibilities Workshop
2.0hInteractive workshop for Responsible Officers on supervisory obligations, internal controls, and regulatory expectations for senior management.
Market Misconduct & Insider Dealing
1.5hAnalysis of market misconduct provisions under the SFO, recent MMT cases, and practical guidance on information barriers and personal dealing policies.
Climate Risk Disclosure Framework
1.0hOverview of the SFC enhanced climate-related disclosure framework for fund managers, covering TCFD alignment and scenario analysis requirements.