Securities and Futures Commission (SFC) CPT Requirements
According to the regulations of the Securities and Futures Commission in Hong Kong, every licensed individual must complete a minimum of 5 hours of Continuous Professional Training (CPT) each calendar year, for each type of Regulated Activity (RA) with which they are involved. However, if the person is licensed for more than one type of RA within the same competence group, he/she only needs to take 5 CPT hours altogether.
As defined by the Securities and Futures Ordinance (SFO Cap. 571), these include:
Competence Group A:
Type 1: Dealing in Securities Type 4: Advising on Securities Type 8: Securities Margin Financing
Competence Group B:
Type 2: Dealing in Futures Contracts Type 5: Advising on Futures Contracts
Competence Group C:
Type 3: Leveraged Foreign Exchange Trading
Competence Group D:
Type 6: Advising on Corporate Finance
Competence Group E:
Type 9: Asset Management
Competence Group F:
Type 10: Providing Credit Rating Services
But with an exception of Type 7: Providing Automated Trading Services
Profectional® is proud to offer an exciting range of SFC CPT courses in Hong Kong, presented by some of the region's leading experts and financial services educators. These courses are more than just a way to stay up to date with your registration obligations; they are a way for you and your staff to expand on your expertise, and offer your clients more.
