Regulatory Conduct of Business Refresher

In this session, we will provide a refresher on the key ongoing conduct of business obligations applicable to intermediaries in the Hong Kong SAR. As part of this, we will consider the HKMA and SFC regulatory frameworks and draw out key conduct of business requirements and how they are relevant to various businesses. We will also explore the regulatory consequences of failing to comply with such requirements. This is an ideal session for those new to financial services in the Hong Kong SAR, or those who wish to refresh their memories of the universe of rules which applies to their business.


One CPD point has been applied for each session with the Law Society of Hong Kong.

Webinar dial-in details: 

Joining instructions will be provided upon registration.

Webinar dial-in opens at 12:45pm