道德與合規 單元二：金融業的監管架構與市場失當行為 課程編號: PE4200841 開課日期: 2026/05/07 上課時數: 3.0 程度: 短期課程 費用: $330 申請表 電郵: peak@vtc.edu.hk 查詢: 28361922 課程資料 (此課程簡介只提供英文版) Module 2: Regulatory framework and market misconduct for financial industry Regulatory Overview in Hong Kong SFC Code of Conducts SFC Internal Control Guidelines Guideline on Anti-Money Laundering and Counter-Financing of Terrorists Anti-Bribery and Anti-Corruption Fiduciary Obligations Practical case studies Market misconduct Key forms of misconduct Treat Customers Fairly Principle Recent enforcement cases for banking sector Recent enforcement cases for insurance sector Recent enforcement cases for securities sector Red flags of inappropriate behaviour and oversight mechanism 一般資料 授課語言 除一些指定以英語授課的課程外,所有課程均以廣東話授課,部份輔以英文專業用語 持續專業進修(CPD)/持續培訓(CPT)時數 IA CPD Hours: 3 (Ethics or Regulations) MPFA Non-core CPD Hours: 3 SFC CPT Hours: 3 HKMA ECF CPD Hours 3 時間表 2026/05/07日期：7.5.2026時間：6:45pm-9:45pm時數：3小時地點：香港灣仔活道27號職業訓練局大樓9字樓 bookmark 加入書籤
課程編號: PE4200841 開課日期: 2026/05/07 上課時數: 3.0 程度: 短期課程 費用: $330 申請表 電郵: peak@vtc.edu.hk 查詢: 28361922 課程資料 (此課程簡介只提供英文版) Module 2: Regulatory framework and market misconduct for financial industry Regulatory Overview in Hong Kong SFC Code of Conducts SFC Internal Control Guidelines Guideline on Anti-Money Laundering and Counter-Financing of Terrorists Anti-Bribery and Anti-Corruption Fiduciary Obligations Practical case studies Market misconduct Key forms of misconduct Treat Customers Fairly Principle Recent enforcement cases for banking sector Recent enforcement cases for insurance sector Recent enforcement cases for securities sector Red flags of inappropriate behaviour and oversight mechanism 一般資料 授課語言 除一些指定以英語授課的課程外,所有課程均以廣東話授課,部份輔以英文專業用語 持續專業進修(CPD)/持續培訓(CPT)時數 IA CPD Hours: 3 (Ethics or Regulations) MPFA Non-core CPD Hours: 3 SFC CPT Hours: 3 HKMA ECF CPD Hours 3 時間表 2026/05/07日期：7.5.2026時間：6:45pm-9:45pm時數：3小時地點：香港灣仔活道27號職業訓練局大樓9字樓 bookmark 加入書籤
