*FULL* SFC licensing Regime Update and Upcoming Expanded SFC Type 9 License Regime

This course will provide an update of the current SFC licensing requirements for intermediaries such as common issues arising from SFC licenses applications and details of upcoming expanded Type 9 license regime and its impact on fund management companies and hedge fund managers will also be discussed.

*Due to popular demand, this course is now FULL. Please contact us by email at registration@courses-seminars.com to be put on waiting list for this course. To request re-run, please click on the “request re-run” box on the right.

Detailed Information

Highlights of the course include:

  • SFC licensing Regime update for SFC licenses, RO license and Representative licenses applications
    • Who needs an SFC licence or registration
    • Consequence of Unlicensed regulated activities and SFC related enforcement actions
    • Types of SFC licenses and SFC regulated activities
    • Common licencing conditions – for hedge fund managers, private equity managers, others
    • Commons situations or failure or returning or rejection of licence applications by the SFC when applying for SFC licenses for Company, RO or Representative licenses application and remedial actions to take
  • SFC Licensing Document
    • Points to note in drafting and preparing business plan for a SFC license application
    • Other documents required – e.g. compliance manual, etc.
    • Common issues / questions from the SFC license requisitions in processing the SFC licenses applications
  • Latest SFC Licensing Trends and Upcoming Changes
    • Recent developments and trends on SFC licensing regime
    • Upcoming Expanded Type 9 license regime and its impact on fund management company and Type 9 RO licenses
    • Preparation for expanded Type 9 license regime for fund management company and hedge fund managers

Registration Conditions

To view our registration conditions click HERE.