Career Talk/Seminar

1-Day Class + Examination | Certified by Hong Kong Securities and Investment Institute | Co-organized by College of Business

Hong Kong Securities and Investment Institute (HKSI) is a professional membership organisation with an aim to raise the professional standards for securities and finance practitioners in Hong Kong. The mission is to promote the highest standards of integrity, business ethics and professional competence in the securities and investment industry through education, training and examinations.  CB studentswho are exploring to enter the securities, futures and investment industry for internship or graduate career are highly recommended to take this lesson to deepen your knowledge on the latest framework which will be beneficial to your future job search, job interview and future licensing. 

Date:  22 May 2024 (Wednesday)
Time:  10:00 AM – 6:00 PM
Venue:  G4702, Green Zone, Yeung King Man Building (AC1)
Target Students: All years of CB undergraduate students
SFC CPT Hours: Entitled to 6 Hours

Lesson Outline

• Regulatory overview of the HK financial industry
• Securities industry in HK and SFC’s statutory objectives
• Banks vs. Licensed Corporations
• Types of SFC licensees and F&P requirements
• Key concepts in the Securities and Futures Ordinance (SFO)
• Anti-money laundering (AML)
• Code of Conduct (CoC)
• Sub-legislations: Financial Resources Rules (FRR), Client Money and Securities
• Investor Compensations
• Market Misconduct

HKSI Certification Criteria

• Full attendance for the whole day is a must;
• Late or partial attendance will be disqualified; and
• Attained a passing score of in-class exam: 80% or above.

Refundable Cash Deposit $200

As we only have 30 seats, a refundable deposit will be applicable. Shortlisted students will be invited to pay a cash deposit of $200 at the end of April to confirm and secure your spot. Attendance will be taken at 10:00 am and 2:00 PM after each lesson break. For students who have successfully completed the lesson and exam, the $200 cash deposit will be refunded to students in June/July along with the HKSI certificate. 

Application

Please submit your Online Application by 22 April (Monday) 23:59 HK.  Please only register if you can commit to the whole day lesson on 22 May in person as there will not be any exception. Shortlisting will be based on the content and constructiveness of your short answer from the online application form.

Only shortlisted students will be contacted by CB Career for deposit payment arrangements.

For inquiries, please contact CB Career at cbcareer@cityu.edu.hk.