Hong Kong Licensing, Fit & Proper, Conflicts of Interest

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Conversations on Compliance

Hong Kong Licensing, Fit & Proper, Conflicts of Interest

“Conversations on Compliance” is a video series featuring our two hosts, Jessica and Dave, as they explore a range of regulatory topics. Each course comprises three lessons with a deep dive on a specific regulatory topic, along with associated case studies and quiz questions. Completing the course and associated quizzes should take approximately one hour.

This course contains three lessons covering Hong Kong regulatory basics, including (1) the SFC licensing regime, (2) the crucial concept of being “Fit and Proper,” and (3) understanding and managing conflicts of interest.

Compliance Ethics HK SFC One Hour

Suggested Credit: 1 Hour

Topics

Licensing & Regulation
- Licensed Activity in HK
- Codes of Conduct
- Responsibilities of Regulated Persons
- Notification of Material Changes
- Continuous Professional Training (CPT)
- Two Case Studies
Fit & Proper
- Core Criteria and Additional Considerations
- Continuing Requirements to Maintain Fit and Proper
- Ongoing Disclosure Requirements
- Three Case Studies
Conflicts of Interest
- Understanding SFC’s “Best Interests” requirement
- Management’s Responsibility and Supervision
- Best Practices around Personal Trading
- Two Case Studies

Relevant Jurisdictions

Hong Kong

Let’s get started

Conversation – HK Licensing Requirements Quiz – HK Regulation and Licensing Conversation – HK Fit and Proper Quiz – HK Fit and Proper Conversation – HK Conflicts of Interest Quiz – HK Conflicts of Interest