SFC Financial Resources Rules Fundamentals

This course is designed to equip participants with a comprehensive understanding of the regulatory framework governing financial resources for licensed institutions. Given the critical role that financial stability plays in the overall integrity of the financial system, it is imperative for professionals in the industry to be well-versed in these regulations.

Throughout this course, we will delve into the essential components of financial resources rules, including capital adequacy and liquidity requirements. Participants will gain insights into the regulatory obligations set forth by the Securities and Futures Commission (SFC) and explore the implications of these rules on daily operations.

You will earn 0.5 CPT hour upon completion.