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