Licensing & Regulations CPT Courses
Licensing and regulatory knowledge is fundamental for all SFC-licensed individuals. Licensed persons must understand the Securities and Futures Ordinance, licensing requirements, conduct requirements, and ongoing obligations. Licensing and regulatory topics count toward CPT hours under 'compliance, legislative and regulatory standards.'
Asset & Wealth ManagementSeptember 2026Setting Up an Asset Management Business in Hong Kong
Legal & Compliance
Licensing & RegulationsSeptember 2026Licensing and Registration Requirements in Hong Kong
Legal & Compliance
Digital Assets & RegulationsSeptember 2026Introduction to the Stablecoins Ordinance
Legal & Compliance
ESG & SustainabilityAugust 2026HKEx Environmental Social and Governance Reporting Code
Legal & Compliance
Licensing & RegulationsAugust 2026HKEx Listing Rules Corporate Governance Code
Legal & Compliance
Asset & Wealth ManagementAugust 2026Code on Open-Ended Fund Companies
Legal & Compliance
Asset & Wealth ManagementAugust 2026Introduction to the Limited Partnership Fund Ordinance
Legal & Compliance
AML & CFTAugust 2026Supervisory and Investigative Powers under Hong Kong's AML/CFT Ordinance
Legal & Compliance
Popular lessons in Licensing & Regulations
Understanding Types of Regulated Activities Under SFO
Setting Up an Asset Management Business in Hong Kong
General Licensing Requirements for Corporations and Individuals
Setting Up an Asset Management Business in Hong Kong
Exemptions From Licensing Requirements Under SFO
Setting Up an Asset Management Business in Hong Kong
The General Fit and Proper Requirement Criteria
Setting Up an Asset Management Business in Hong Kong
Specific Approval Criteria for Licensed Corporations
Setting Up an Asset Management Business in Hong Kong
Introduction to the Hong Kong Licensing Regime
Licensing and Registration Requirements in Hong Kong
Licensing & Regulations — frequently asked questions
Do licensing exam prep courses count toward CPT hours?
Licensing exam preparation helps candidates pass SFC licensing exams. While exam prep itself is for initial licensing, ongoing regulatory training counts toward CPT hours under 'compliance, legislative and regulatory standards.'
What is the difference between licensing training and CPT?
Licensing training prepares candidates for initial SFC licensing exams. CPT is the ongoing annual training requirement for already-licensed individuals. Both are important for maintaining 'fit and proper' status.
Earn your CPT hours with Licensing & Regulations courses
Each course includes quizzes and a certificate of completion for your training records.