Financial Compliance

Empowering with comprehensive compliance training and education

Compliance Training & Education

Why Choose Us

Your staff will be empowered by means of comprehensive compliance education and training programs that are specifically developed to improve comprehension and adherence to industry standards. Furthermore, across all operational levels, we establish and execute efficient policies and procedures that advance the application of best practices. By adopting this strategic approach, your organization cultivates a climate of adherence to regulations and achieves operational excellence.

01 Comprehensive Compliance Training and Employee Education

Provide personnel with the requisite expertise and competencies to effectively navigate the intricate regulatory environment of Hong Kong. Our all-encompassing compliance education and training programs guarantee that your personnel are well-informed regarding their responsibilities with regard to compliance and are capable of efficiently reducing potential risks.

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Tailored Training Programs

We develop customized training programs that cater to your organization's specific compliance needs and the roles of your employees. Our training covers a wide range of topics, including regulatory requirements, internal policies, and best practices, ensuring that your staff receives relevant and actionable knowledge.

Interactive Learning Experiences

Our training sessions are designed to be engaging and interactive, utilizing a variety of learning methods such as case studies, group discussions, and practical exercises. This approach enhances knowledge retention and encourages active participation from your employees, leading to a more effective learning experience.

Ongoing Education and Updates

We keep your employees informed of the latest regulatory changes and industry developments through regular updates and refresher training sessions. This ensures that your staff remains up-to-date with their compliance obligations and can adapt to evolving regulatory requirements in a timely manner.

Measurable Results and Reporting

We provide comprehensive post-training assessments and reporting to measure the effectiveness of our training programs. This allows you to track employee progress, identify areas for improvement, and demonstrate the value of compliance training to senior management and regulatory authorities.

courses tailored for Compliance Training and Education

training coverage

Our courses, which are delivered by industry professionals and cover AML, cybersecurity, risk management, and global regulatory frameworks, will elevate financial compliance standards. Convert challenges into growth opportunities.

Primary Courses

Regulatory Updates & Enforcement

Primary Course

GBA Banking Compliance and Cross-boundary Wealth Management

Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF)

• Overview of AML and CTF frameworks
• Identifying and reporting suspicious activities
• Compliance with local and international AML regulations
• Case studies on AML and CTF enforcement

Description

Focuses on understanding and implementing effective AML and CTF practices in line with both local and international standards.

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Data Protection and Privacy Laws (including GDPR)

• Key principles of data protection
• Hong Kong’s Personal Data (Privacy) Ordinance specifics
• Implications of GDPR for non-EU entities
• Managing data breaches and compliance checks

Description

Covers Hong Kong’s Personal Data (Privacy) Ordinance and relevant global data protection regulations such as the EU’s GDPR.

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Cybersecurity Compliance

• Understanding cybersecurity threats and vulnerabilities
• Establishing robust cybersecurity frameworks
• Regulatory requirements for cybersecurity in financial services
• Incident response and recovery strategies

Description

Addresses the growing need for firms to protect sensitive financial data against cyber threats and data breaches.

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Cross-Border Compliance (FATCA, CRS)

• Essentials of FATCA and CRS
• Implementing compliant processes for cross-border data sharing
• Penalties for non-compliance and how to avoid them
• Practical applications and reporting requirements

Description

Provides insights into managing compliance with the Foreign Account Tax Compliance Act and the Common Reporting Standard.,

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Securities and Futures Ordinance (SFO) Compliance

• Overview of the SFO and its implications for professionals
• Regulatory requirements for securities and futures trading
• Compliance strategies for brokers and traders
• Enforcement actions and case studies

Description

Detailed course on complying with the SFO, focusing on regulations relevant to securities and futures markets in Hong Kong.

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Compliance with Hong Kong Listing Rules

• Understanding the Listing Rules of the Hong Kong Stock Exchange
• Disclosure requirements and periodic reporting
• Corporate governance standards for listed companies
• Case studies on compliance and non-compliance

Description

Educates on the HKEX Listing Rules and the responsibilities of listed companies to maintain fair and transparent markets.

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Risk Management in Financial Services

• Risk assessment methodologies
• Tools and techniques for managing financial risks
• Regulatory expectations for risk management
• Integrating risk management into corporate strategy

Description

Provides insights that facilitate the identification, evaluation, and effective management of risks within financial institutions.

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API Compliance and Security in Financial Services

• Overview of APIs (RESTful, SOAP, GraphQL) and their applications
• Understanding key regulations of API usage such as PSD2, GDPR
• Detailed discussion on common security vulnerabilities in APIs
• Implementation of security authentication such as OAuth, OpenID

Description

Learn to design secure, compliant APIs for financial services, covering data protection, PSD2, and GDPR regulations.

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Regulatory Compliance for Fintech and Regtech

• Overview of the fintech and regtech landscape
• Regulatory challenges specific to technology-driven services
• Compliance best practices for fintech companies
• Emerging trends and innovations in regtech solutions

Description

Specialized course addressing the regulatory challenges and compliance issues specific to fintech and regtech sectors.

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Corporate Governance and Leadership

• Principles of effective corporate governance
• Role of boards and senior management in compliance
• Leadership in fostering a compliance culture
• Case studies on governance failures and successes

Description

Trains senior executives and board members on best practices in corporate governance to enhance company performance.

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