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Home Online Compliance Training for SFC-Licensed Firms: What Counts Towards CPT Online compliance training can count towards SFC continuous professional training (CPT), provided the course includes an independent assessment and produces sufficient records of completion and duration. The topic must also be relevant to the person’s regulated activities, or to ethics or compliance. Watching a video with no assessment, or general reading, does not qualify. This guide explains...
Home The SFC Fund Manager Code of Conduct: What Asset Managers Must Get Right The Fund Manager Code of Conduct (FMCC) is the SFC’s rulebook for how licensed asset managers run their business day to day. It applies to firms licensed or registered for Type 9 (asset management) regulated activity, whether they manage funds or discretionary accounts. It is not a licensing hurdle you clear once. It is...
Home SFC CPT Requirements: How Many Hours You Need Before 31 December Under the SFC’s Guidelines on Continuous Professional Training, every licensed representative must complete at least 10 CPT hours each calendar year, and every Responsible Officer at least 12. At least five hours must relate directly to your regulated activities and at least two to ethics or compliance. The CPT year closes on 31 December. This guide...
For an SFC-licensed firm, corporate changes trigger both Companies Registry filings and SFC deadlines. Here is why having one team handle both reduces risk.
Need to appoint a Responsible Officer for your SFC-licensed firm? How to find a qualified RO, what to look for, the timelines, and why "in name only" does not work.
AI can help a licensed firm, but the SFC now expects it to be governed. The risks, what the SFC's circulars require, and why every firm needs an AI policy.
What a Responsible Officer is, how many an SFC-licensed firm needs, who qualifies, and how to appoint one. A plain-English guide for founders.
What a company secretary does in Hong Kong, why every company must appoint one, who can act, and the key duties. A clear guide for founders and directors.
An SFC mock audit tests your compliance before a real inspection. Learn what it covers, why licensed firms run one, and how to prepare with confidence.
A practical, end-to-end guide to applying for an SFC licence in Hong Kong — the five stages, from choosing the right licence to approval, handled in-house.