2023 e-Learning Course Enrollment
在提交此表格时，本人同意法通合规顾问有限公司使用本人的个人资料以管理其网上学习计划。本人之个人资料仅供必要的人员采用。本人明白当本人的个人资料不再被需要时，该等资料将会被删除。

*如申請課程後有任何更改, 請電郵至info@compliancedirecthk.com (請不要於e-Learning platform上申請)

In submitting this form, I agree to my details being used for the purposes of administering the e-Learning programs hosted by ComplianceDirect Consulting Limited. The information will only be accessed by necessary staff.  I understand that when this information is no longer required, the data will be disposed.

*If you wish to change anything after registration, please email to info@compliancedirecthk.com 
(Please do not apply on the e-Learning platform)
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Email *
全名 Your full name 
(与身份证明文件相同 As shown on Identification documents )
 *
联络电话 Contact number *
持牌公司名称 Name of licensed corporation *
持牌人士類別 Type(s) of license 
(如没持牌，请填写 'N/A'  If non-licensee, please insert 'N/A')
 *
Required
附加费用(如需) Payment for extra hours (if needed) *
2.5小时课程选择 2.5-hours course selection
請注意：以下所有的中文課程都是從英文對應翻譯
Please note: All courses in Chinese below are translated from its corresponding English counterpart
注册 Enroll
2022-A1 Financial Resources Rules Requirements for Licensed Corporations which Do Not Hold Client Assets (Type 4 & 9 RAs)
2022-A4 The SFC Code of Conduct for Wealth Management & Brokerage Firms, Discretionary Account Managers and Fund Managers (Type 1,2,4 & 9 RAs)
2023-07 財富管理及證卷經紀商、全權委託帳戶經理及基金經理的證監會操守準則（第1、2、4及9受規管活動類型）**以上2022-A4的中文版**
2022-A5 Compliance with Suitability Obligations (Type 1,2,4 & 9 RAs)
2022-A6 Understanding The Duties and Obligations of Senior Management under the SFC (All Types of RAs)
2023-04 Regulatory Requirements on Anti-Money Laundering and Counter Financing of Terrorism (AML/CFT) for Brokerage Firms and Licensed Corporations which Hold Client Assets (Type 1 & 2 RAs)
2023-11 打擊洗錢（AML）及恐怖分子集資金等集（CFT）的監管要求－適用於特有客戶資產的經紀公司及持牌法團（第1及2受規管活動類型）**以上2023-04的中文版**
2023-05 Regulatory Requirements on Anti-Money Laundering and Counter Financing of Terrorism (AML/CFT) for Discretionary Account Managers & Fund Managers (Type 4 & 9 RAs)
2023-12 打擊洗錢（AML）及恐怖分子集資金等集（CFT）的監管要求－適用於全權委託帳戶經理和基金經理（第4及9受規管活動類型）**以上2023-05的中文版**
2小时课程选择 2-hours course selection
請注意：以下所有的中文課程都是從英文對應翻譯
Please note: All courses in Chinese below are translated from its corresponding English counterpart
注册 Enroll
2022-B1 Professional Conduct & Ethics (All Types of RAs)
2023-08 The SFC Code on Takeovers and Mergers and Share Buy-back
2023-09 Securities & Futures (Client Money) Rules & (Securities) Rules
1.5小时课程选择 1.5-hours course selection
請注意：以下所有的中文課程都是從英文對應翻譯
Please note: All courses in Chinese below are translated from its corresponding English counterpart
注册 Enroll
2022-C1 Suspicious Transaction Reporting (All Types of RAs)
2022-C2 The Management and Disclosure of Climate-related Risks by Fund Managers (Type 9 RA)
2023-10 Virtual Assets [Licensing requirements, disclosure, restriction & risk control]
1小时课程选择 1-hour course selection
請注意：以下所有的中文課程都是從英文對應翻譯
Please note: All courses in Chinese below are translated from its corresponding English counterpart
注册 Enroll
2022-D1 Anti-bribery & Corruption (All Types of RAs)
2023-02 防止賄賂和貪污 （所有受規管活動類型）**以上2022-D1的中文版**
2022-D2 Personal Data (Privacy) Ordinance (All Types of RAs)
2023-03 個人資料（私隱）條例（所有受規管活動類型）**以上2022-D2的中文版**
2022-D3 Professional Investors (All Types of RAs)
2023-06 Ongoing Obligation of Licensed Persons (All Types of RAs)
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