Browse our course catalog:
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Regulatory Essentials for HK Asset Management Employees
Master Hong Kong’s Type 9 regulatory landscape in this compelling Regulatory Roads episode. Learn SFC enforcement priorities, licensing and Responsible Officer duties, fit‑and‑proper tests, notifiable…
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Laundry Day Part Two – AML/CFT 102
Gain critical AML, Crypto, and Terrorist Financing insights with captivating story of Eddie Mercer in “Laundry Day, Part 2” Understand the methods, risks, and consequences…
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Hong Kong Market Misconduct
This course is a deep dive into Hong Kong’s Market Misconduct Regime. We cover (1) an overview of the Market Misconduct Regime, (2) false trading…
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Hong Kong Licensing, Fit & Proper, Conflicts of Interest
Conversations on Compliance offers a deep dive into Hong Kong’s financial regulatory landscape. This is a one credit hour course containing three lessons covering Hong…
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Laundry Day Part One – AML/CFT 101
Gain critical AML, Sanctions, and Terrorist Financing insights through the captivating story of Eddie Mercer in “Laundry Day, Part 1.” Understand the methods, risks, and…
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Blackwell’s Peril – Insider Trading and Wall Crossing
Learn about the nuances of insider trading laws across the US, UK, and Hong Kong, understand the risks of block trades, and discover best practices…