With the changes to the professional investor regime, the regime governing selling and marketing and distribution of fund products in Hong Kong have become more and more stringent. This course will provide the latest update on the offers of funds regime in Hong Kong under the Securities and Futures Ordinance and under the Companies (Winding Up and Miscellaneous Provisions) Ordinance (C(WUMP)O) of Hong Kong.
Highlights of the course include:
- Market Overview
- Regulatory Framework
◊ SFO, C(WUMP)O, CO, SFC and SEHK
- Intermediary Licensing
◊ Types 1 and 9 Regulated Activities
- Intermediary Conduct
- Selling Restrictions
- SFC vs. Pacific Sun
- Other Updates
To view our registration conditions click HERE.