Course curriculum

    1. Ongoing Compliance Obligations - Video

    2. Ongoing Compliance Obligations Q & A

    3. Course Feedback

Ongoing Compliance Obligations

  • $350.00
  • 3 lessons
  • 1 hour of video content

Learning Objectives

An overview of the regulatory landscape in Hong Kong, including regulatory authorities, laws, rules, and guidelines. A review of the reporting requirements and recommended best practices for companies licensed under the Securities and Futures Commission (SFC).

  • The financial regulators in Hong Kong.

  • The reporting requirements for SFC-Licensed Corporations, including notifications, prior approvals, and periodic filings.

  • The factors to consider when establishing compliance monitoring programs to ensure ongoing adherence to regulatory requirements.

  • How to prepare for regulatory audits and inspections conducted by the SFC.

Narration: Alex Esson
Design: Dona Samaranayake, Melody Wang
Content: Alex Esson, Stanley Nnam