OFCC - Advanced

Operation Finance and Compliance Certificate (OFCC) - Advanced Level

This advanced certificate course has been run for four times with a total of almost 200 students, who could strongly feel the heart and seriousness of the course organizer in helping ROs and MICs in solving compliance issues in their daily work. The dedication is also revealed by the choice of topics, depth of subjects, quality of lecturers and coverage of handouts. Traditionally, Responsible Officers are qualified through, amongst other things, passing certain designated HKSI examination papers and gaining certain years of relevant industry experience. This experience requirement may many-a-time be quite different from other professions, which involve thorough job-rotations during apprenticeship in order to attain considerable exposure in every aspect of their professions. The lack of thorough operational, in front- middle-back offices or sell-side or buy-side oriented, experiences may hinder the ability of an RO in overall management and oversight of a licensed corporation. 

This Certificate Course aims to equip students in understanding a comprehensive compliance framework, in which a licensed corporation is operating, as required by the Securities and Futures Ordinance, as well as other operational aspects of the regulated activities (RA) industry. The course will also help students to systematically identify, manage and reduce risks in the elements or components of the operation. The codes of conduct and guidelines published from time to time by SFC and other rules and regulations like the Listing Rules of HKEX, the Anti-Money Laundering Ordinance, the Personal Data (Privacy) Ordinance and the new Fund Manager Code of Conduct etc. are often being referenced to. Responsible Officers are a pivot to balance between undergoing dynamic business activities and ever-changing gatekeeping for more stringent regulatory requirements, which nowadays hinges on personal civil as well as criminal liabilities. We believe that this course will help them achieve a good balance in their career development.

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