Applicable regulatory requirements for compliance training/CPT
Continuing professional training (CPT) is used to maintain the professional competence and fitness for purpose of persons engaged in regulated activities。SFC "Guidelines on Continuing Professional Training" issued in accordance with Section 399 of the Securities and Futures Ordinance；The guidelines themselves do not have legal effect，However, failure to meet applicable requirements may affect suitability and result in regulatory action。licensed representative、The responsible person and the relevant personnel of the registered institution must calculate the CPT requirements in previous years according to their respective identities and applicable conditions.。
Anti-money laundering training for other industries must be based on their competent authorities、Positions and business risks will be arranged separately，Not equivalent to unified SFC CPT hours。Organizations should establish training programs、Check course relevance，and retain attendance、Evidence such as assessment and teaching materials。
Job-based design of compliance training
Compliance training should be relevant to the position、product、client、Direct correspondence between risk and regulatory reporting。Just complete the video or check-in，Failure to demonstrate that employees understand and can implement the controls。
- by director、Compliance、Customer onboarding、trade、customer service、Technical and sales position setting courses。
- Cover KYC/KYB、AML/CFT、sanctions、conflict of interest、complaint、Data security and incident escalation。
- Use real but desensitized cases、test、Retraining for wrong questions and annual updates。
- Save trainees、Course version、score、Supplementary training and management review records。
Official verification：FATF recommendations。Specific obligations must be combined with the subject、business、Customer location and latest regulatory confirmation。
Training fees and scope of application
Training service fee is based on the number of participants、Course duration、Industry case customization、Teaching format、Assessment and recording range quotation，Market service price，Not a unified government fee，It is not equivalent to the annual supervision fee of the licensee。CPT hours and recognition scope must be checked according to the supervisory system and position of the personnel；The SFC’s “Guidelines on Continuing Professional Training” are applicable to its corresponding regulated personnel，Cannot be directly applied to all industries，Participation in the course does not guarantee recognition by the regulatory body。The competent authority of TCSP is the Hong Kong Companies Registry。
Source basis (verified on September 6, 2026)：Hong Kong Securities and Futures Commission："Guidelines on Continuing Professional Training" in the Guidance Catalog。The specific obligations shall be subject to the applicable system and the facts of the individual case.。
CPT course public tuition fee reference
Hong Kong Securities and Investment Institute：2026September 8, 2020 ESG and Climate Risk Courses and TuitionFor a two-hour online course，Publicly listed SFC and PWMA 2 hours each。Tuition fees are differentiated by status：
- Society members and company members and employees：HK$580/person，Based on two hours, it is equivalent to HK$290/hour.。
- non-member：HK$1,160/person，Based on two hours, it is equivalent to HK$580/hour.。
This is the specified date、Sample public prices for specified courses，Not a flat price for all CPT courses。The converted hourly price is for budget comparison only，Not available for purchase by the hour。After the event, you should check the new courses and tuition fees.；Enterprise chartered classes、Custom content、Other regulatory accreditation and certificate arrangements need to be confirmed separately，It cannot be calculated directly based on this price。
Market data verification date：2026September 6。The above are samples of services or prices disclosed by designated institutions.，Not a unified industry standard，It’s not a Hong Kong Xintong quotation either.；The actual cost is subject to the final confirmed service scope and written quotation.。taxes、Additional services、Discount qualifications and renewal conditions should be checked separately。
CPT hours and course certification basis
According to paragraphs 5.2 to 5.5 of the SFC Guidelines on Continuing Professional Training，LR Minimum 10 hours per calendar year，RO at least 12 hours，Among them, the additional 2 hours of RO must be regulatory compliance topics.；Not simply stacked based on the number of regulated activities。At least 5 hours of the total annual hours must be directly related to the regulated activity for which the license is issued at the time。Must complete 2 hours of ethics training within 12 months after first joining the industry，At least 2 hours of ethics or compliance training per calendar year thereafter；The 2 hours of ethics training for new entrants cannot be used as an additional 2 hours for RO.。Special conditions and pro-rata calculations need to be checked separately。
source：SFC "Guidelines on Continuing Professional Training" (current version as of January 2022) Sections 3 to 6。2026Check the SFC current guidance directory and original text on September 7, 2019。
Core course modules for compliance training/CPT
Covers conflicts of interest、Customer benefits、Integrity and professional conduct。Must complete 2 hours of ethics training within 12 months after first joining the industry；At least 2 hours of ethics or compliance training each calendar year thereafter，Instead of only accepting ethics courses every year。Relevant hours shall be calculated in accordance with paragraphs 5.4 to 5.5 of the SFC Guidelines。
Key regulatory review areas。An in-depth analysis of the Regulations on Combating Money Laundering and Terrorist Financing(AMLO)latest revision、Customer due diligence(CDD/KYC)Practice、suspicious transaction report(STR)Mechanisms and Sanctions Compliance。
Regarding the Securities and Futures Ordinance(SFO)and the latest amendments to relevant subsidiary legislation、Interpretation of SFC Circulars、Changes in licensing conditions and analysis of recent regulatory enforcement cases，Ensure business operations do not exceed legal red lines。
Covers liquidity risk、credit risk、Operational Risk Management Framework，and core functional leaders(MIC)Accountability mechanism under the system、business continuity plan(BCP)Development and testing。
Coping with Increasingly Severe Technological Risks，The training content includes "Personal Information(privacy)Regulations(PDPO)Compliance requirements、Protect against phishing、Customer data encryption and technology risk management for third-party vendors。
Responding to the SFC’s regulatory requirements on climate-related risks，Covering fund managers’ disclosure responsibilities on climate risks、Green financial product classification standards and compliance review of ESG investments。
Applicable objects and hour requirements for compliance training/CPT
RO Complete at least 12 hours of CPT each calendar year，The additional 2 hours compared to LR must be regulatory compliance topics。At least 5 hours of the total annual hours are directly related to the regulated activity for which you are licensed at the time，and meet applicable ethics or compliance requirements；Not 10 to 12 hours for each competency group。
LR Complete at least 10 hours of CPT per calendar year，Not simply superimposed according to the number of license plates；At least 5 hours of which are directly related to the regulated activity for which you are licensed at the time。First time ethics training in the industry、Future annual ethics or compliance training，and special additional conditions must be accounted for separately。
Even if some MICs are not SFC licensees (such as compliance、IT、Treasurer)，In accordance with SFC’s high-level accountability requirements，Organizations must also provide them with compliance and risk management training commensurate with their responsibilities。
The competent authority for TCSP is the Hong Kong Companies Registry，Not Hong Kong Customs。its compliance officer、Anti-money laundering training for money laundering reporting officers and relevant staff，Should be in accordance with applicable TCSP guidelines、Position and risk arrangements；Cannot apply SFC CPT hours，Nor should it be generally stated that courses must be recognized by the Customs and Excise Department。
Compliance training/CPT implementation and declaration process
Hong Kong Xintong compliance experts will determine the license type of the client organization (such as license number 1/4/9).、Employee licensing status and past training records，Accurately calculate the number of CPT hours and required modules each employee is missing this year。
Combined with the actual business scenarios of the organization，Tailor-made online or offline compliance training course schedule，Covers professional ethics、AML、Core content such as regulatory updates，And arrange for senior legal or compliance experts to teach。
Organize employees to participate in training。For online courses，The system will strictly record the study time；For offline courses，Attendance form required to be signed。Some core courses will set up after-class assessments to verify learning effects.。
After training is completed，Provide records based on actual attendance or assessment results，and assist in organizing the course syllabus、Study duration、Attendance and assessment evidence。Proof of attendance does not constitute recognition or endorsement of the course by SFC。
Assist licensees and institutions to truthfully confirm the CPT compliance status of the previous calendar year in the applicable annual declaration，Or explain the reasons for non-compliance。Organizations and individuals should each maintain adequate training evidence for at least 3 years in accordance with SFC guidelines.；Other systems or internal policies require longer periods of compliance.。
Frequently Asked Questions about Compliance Training/CPT(FAQ)
According to paragraphs 5.2 to 5.5 of the SFC Guidelines on Continuing Professional Training，LR Minimum 10 hours per calendar year，RO at least 12 hours，Among them, the additional 2 hours of RO must be regulatory compliance topics.；Not simply stacked based on the number of regulated activities。At least 5 hours of the total annual hours must be directly related to the regulated activity for which the license is issued at the time。Must complete 2 hours of ethics training within 12 months after first joining the industry，At least 2 hours of ethics or compliance training per calendar year thereafter；The 2 hours of ethics training for new entrants cannot be used as an additional 2 hours for RO.。Special conditions and pro-rata calculations need to be checked separately。 SeeSFC Guidelines on Continuing Professional Training Section 5。
Calculated based on calendar year (January 1st to December 31st)。Those who are issued licenses for the first time in the middle of the year，The applicable annual hours may be calculated pro rata based on the licensing period in accordance with paragraph 5.8 of the Guidelines；The two hours of ethics training that must be completed within 12 months of first joining the industry will not be reduced proportionately。Qualifying training before the license is issued in the same calendar year can also be counted according to the guidelines。source：SFC CPT Guidelines Paragraph 5.8 and Footnote 5、6。
Basic annual hours do not simply add up based on the number or type of regulated activities：LR at least 10 hours，RO at least 12 hours。Relevant topics should be covered based on actual business，At least 5 hours directly related to the regulated activity for which you are licensed at the time；Sponsor and Takeovers Code transaction work has specific subject-specific hours requirements，Can't be missed。SeeSFC CPT Guidelines Paragraphs 5.2 to 5.3。
According to SFC compliance requirements，Licensed institutions must properly keep all licensees’ CPT training records and relevant supporting documents (such as attendance certificates、Course Outline、Attendance sheets, etc.) for at least 3 years。But from a strict legal compliance perspective，Hong Kong Information Communications recommends that organizations keep such records for 7 years，in response to potential long-term regulatory investigations。
Eligible online learning may be counted，However, there must be independent assessment (such as test or assessment results) and adequate records，Proof of completion and length of study。General reading of financial news、General professional publications or daily work usually do not count as CPT，You can’t just rely on playing videos or signing in to determine completion.。SeeSFC CPT Guidelines Section 6 and Footnote 9。
efficient。CPT hours follow the individual license holder。If you have completed some or all of the CPT hours for the current year at your original company，And hold valid supporting documents (such as CPT certificate)，These hours will remain valid after you transfer to a new company。New companies should request these records from you to complete their internal compliance files。
Failure to meet applicable CPT requirements may affect an individual's and institution's fitness and fitness status and result in regulatory follow-up or disciplinary action。The SFC or HKMA will take into account the facts、Cause and remedy determine action，Fines or license revocation are not always automatic。Licensees and institutions should truthfully report non-compliance and implement supplementary training and records。SeeSFC CPT Guidelines Paragraphs 3.4 to 3.5。
Usually no。Purely day-to-day business meetings、The issuance of sales quotas or administrative meetings cannot be counted in CPT.。CPT content must be structured，And improve professional capabilities、Directly related to compliance awareness or professional ethics。If it is a specially organized internal compliance training seminar，and have a clear agenda、Handouts and sign-in records，can be included in。
Although non-licensed personnel do not have SFC-mandated CPT hour requirements，However, according to the Anti-Money Laundering Ordinance(AMLO)and SFC Internal Control Guidelines，Organizations have a responsibility to provide for all relevant staff (including back-office、IT、Finance) provides anti-money laundering、Basic compliance training such as cybersecurity and data privacy，to guard against overall operational risks。
cannot be considered exempt on its own。Pro-rata arrangement for first mid-year license issuance，It is different from the case handling after the requirements are not met.；Should be calculated in accordance with the guidelines and individual license conditions，If there is a gap, explain the reason truthfully.、Remediation and Documentation。The SFC will assess non-compliance and fit and proper persons issues based on the facts and circumstances，Certain types of reasons should not be written as automatic exemptions。SeeSFC CPT Guidelines Paragraphs 3.4 to 3.5 and 5.8。
SFC and its Academic Accreditation Advisory Committee do not endorse or endorse individual CPT programs。Institutions should self-vetize instructors、Course structure、Relevance、Attendance and Assessment Records，Determine whether it meets the actual training requirements of personnel。Hong Kong Xintong can provide course and training record support according to the scope of entrustment.；Certificate proving attendance or completion，does not represent approval of the course by the regulatory body。SeeSFC CPT Guidelines Paragraphs 4.4 to 4.7 and 8.6。
cannot。Guidance clarifies that excess hours from one calendar year cannot be carried forward to the next calendar year，Courses and records should be arranged separately for each year，The total hours of long-term packages cannot be used as cross-year deductions。 SeeSFC Continuing Professional Training Guidelines。
General language courses cannot be counted。Management courses may only qualify if they enhance the ability to perform duties in the relevant regulated activities，Should be combined with content、Judgment of personnel positions and learning certificates。 SeeSFC Continuing Professional Training Guidelines。
These are examples of topics listed in the guidelines，But it must still be related to personal functions、The content is substantial and meets the activity and certification requirements。Course title with Finance or Compliance is not sufficient for automatic recognition。 SeeSFC Continuing Professional Training Guidelines。
Training requirements cannot be met by repeatedly participating in activities with the same content。Contents that can update knowledge and practical abilities should be selected，And identify duplicate topics and versions in the ledger。 SeeSFC Continuing Professional Training Guidelines。
The guidelines state that a lunch lecture that usually totals one to two hours counts as 0.5 hour，You cannot directly regard the entire meal narration as study hours。Lecture topics should be saved、Attendance and Calculation Basis。 SeeSFC Continuing Professional Training Guidelines。
The guidelines list these as acceptable forms of activity，But it must be relevant to the position and consistent with the content、Interaction and evidence requirements；Daily work and general reading usually do not count。Actual activities and reasonable hours should be recorded，Rather than just listing the title of the paper。 SeeSFC Continuing Professional Training Guidelines。
Can be counted into pre-licensing courses in the same calendar year according to the guidelines；The hours of study required for the qualification must be evidenced by passing the relevant examination。First ethics must still be examined separately、RO additional compliance and other special conditions。 SeeSFC Continuing Professional Training Guidelines。
need。Institutions remain responsible for evaluating instructors、Whether the structure and content are suitable for the personnel function，and evaluate training programs at least annually。Organizations accredited by AAAC to provide training，It does not mean that SFC endorses every course。 SeeSFC Continuing Professional Training Guidelines。
licensed corporation、When RO and LR submit electronic annual returns，Compliance with applicable requirements for the previous calendar year should be confirmed，Or truthfully explain the non-compliance。Both institutions and individuals are required to retain sufficient evidence of coursework and completion for at least three years，You cannot make a verbal declaration based solely on the total number of hours。 SeeSFC Continuing Professional Training Guidelines。
