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天匯合規線上培訓課程更新（2025）及證監會CPT 要求


天匯合規網上培訓平台 2025年的課程已全面更新，同時符合香港證券及期貨事務監察委員會（證監會）對持續專業培訓（CPT）的要求。


網上培訓課程不僅是對持牌代表（LRs）及負責人員（ROs）主要義務的提醒，這些規定源自證監會的《持續專業培訓指引》，目的是確保從事受規管活動的個人維持專業能力、道德操守，並緊跟行業發展，從而保持其適當性與合適性。

 

要求

持牌代表（LRs）

負責人員（ROs）

 

每個曆年最低CPT小時

 

 

10小時

 

（不論從事受規管活動的數量或類型）

 

 

12小時

 

（包括額外2小時專注於監管合規主題）

 

與受規管活動直接相關的主題小時

 

至少5小時:

 

涵蓋持牌受規管活動相關主題（例如合規規定、立法與監管標準、業務操守、市場動態、新金融產品、風險管理系統；按各活動佔比分配）

 

同LRs

 

道德或合規小時

 

每年至少2小時:

 

（成為LR後首12個月後），涵蓋道德操守（例如誠信、公平、盡責、善意、客觀、客戶最佳利益、公平對待客戶、避免利益衝突、客戶資訊保密）或合規議題（例如金融業法律框架、行為準則、行業指引、內部政策）

 

同LRs

 

從事保薦人工作的個人小時

 

每年至少2.5小時:

 

專注保薦工作相關主題（例如監管規則的技能、知識及其更新），可計入5小時受規管活動要求

 

同LRs

 

從事收購守則交易工作的個人小時

 

每年至少2.5小時:

 

專注收購守則諮詢相關主題（例如監管規則的技能、知識及其更新），可計入5小時受規管活動要求

 

同LRs

 


其他注意事項


i.  新入行者（成為LR或RO的首12個月）:

必須完成2小時道德培訓。此可計入年度CPT總小時，但不可用於RO額外2小時或豁免勝任力要求。此項不按比例調整。

 

ii. 年中首次獲牌的按比例計算:

CPT小時（道德要求除外）可依持牌期間比例計算（例如7月1日獲牌為50%）。獲牌前而又是同年完成的培訓，若有相關考試通過證明，可計入CPT小時。

 

iii. 轉換僱主:

前僱主完成的CPT小時可結轉。新僱主可依賴個人聲明及證據，不需為先前不合規負責，但須確保之後合規。無需按僱傭期分配小時。

 

iv. 可接受CPT活動:

涉及相關活動的時間，須具實質知識或實務內容及互動性，包括：參與課程、工作坊、講座或研討會（面對面或網上）；附作業的遠距學習；附獨立評估的自學或網上課程（例如評核或測試）；行業研究；發表論文；演講；授課或教學；對行業諮詢文件提供意見；參與證監會監管委員會或正式工作組；午餐講座（計0.5小時）。記錄須證明完成度及持續時間。


v. 非CPT活動:

日常工作、在職訓練、金融新聞或文獻的一般閱讀、無互動活動、語言課程（一般情況）、相同內容的重複CPT活動。超額小時不可轉至下一年。


vi. 記錄保存:

個人須保存CPT活動記錄（例如證書、出席證明、考試成績）至少3年，供證監會查閱。


vii. 年度確認:

LRs及ROs須每年透過電子申報向證監會確認前一曆年的合規狀況（或說明不合規原因）。

 

viii. 額外要求:

證監會可在特定情況下要求額外CPT小時，例如豁免認可行業資格或本地監管框架考試（詳見《勝任指引》）。

 

**若未能滿足這些要求，可能影響您的適當性及合適性，並導致證監會採取紀律措施。建議提前規劃培訓，確保全面遵守。**

 

2025年天匯合規線上培訓平台更新


天匯合規線上培訓平台在2025年已全面更新課程！您可隨時通過以下鏈接：

  • 瀏覽最新課程

  • 選購所需培訓

  • 線上自主學習

  • 即時下載證書及保存記錄


中文版            https://complianceone.thinkific.com/collections/cptzh

英文版            https://complianceone.thinkific.com/pages/cpten



如有進一步查明，歡迎通過以下方式與我們聯絡：

1) WhatsApp: +852 5490 8117

2) 微信: CompOneCS

3) 電郵: cs@complianceone.hk



ComplianceOne’s Online Training Course Updated (2025) – CPT Requirements


We at ComplianceOne Consulting Limited are committed to supporting your ongoing compliance with the regulatory requirements set forth by the Securities and Futures Commission (“SFC”) of Hong Kong. As part of our dedication to excellence, we would like to remind you of the key obligations regarding Continuous Professional Training (“CPT”) for Licensed Representatives (“LRs”) and Responsible Officers (“ROs”). ComplianceOne’s online training platform has updated its 2025 CPT courses - align with the guidelines.

These requirements, outlined in the SFC's Guidelines on Continuous Professional Training are designed to ensure that individuals engaging in regulated activities remain competent, ethical, and up-to-date with industry developments.


 Key SFC CPT Requirements

Requirement

Licensed Representatives (LRs)

Responsible Officers (ROs)

 

Minimum CPT Hours per Calendar Year

 

 (Total)

 

 

10 hours

 

 

12 hours

 

(including 2 additional hours on regulatory compliance topics)

 

Hours on Regulated Activities

 

At least 5 hours:

 

on topics directly relevant to the licensed regulated activities (allocated proportionally to time spent in each activity)

 

Same as LRs

 

Hours on Ethics or Compliance

 

At least 2 hours:

 

per year (after the first 12 months in the industry) on topics like integrity, fairness, conflict avoidance, client confidentiality, legal frameworks, codes of conduct, and internal policies

 

Same as LRs

 

Specialized Hours for Sponsor Work

At least 2.5 hours:

 

per year on relevant topics (e.g., regulatory rules for listings), countable toward the 5 hours on regulated activities

 

Same as LRs

 

Specialized Hours for Codes on Takeovers Transactions

 

At least 2.5 hours:

 

per year on relevant advisory topics, countable toward the 5 hours on regulated activities

 

Same as LRs

 


Additional Considerations


i. New Joiners (First 12 Months as an LR or RO):

Must undertake 2 hours on ethics. This counts toward the annual CPT requirement but cannot be counted toward the 2 additional hours for ROs or used for exemptions from competence requirements. This requirement is not pro-rated.

 

ii. Pro-Ration for Individuals First Licensed During the Year:

CPT hours (excluding the ethics requirement for new joiners) can be pro-rated based on the licensed period (e.g., if licensed on July 1, 50% of annual hours apply). Training attended prior to licensing but in the same calendar year can count if a pass in a relevant examination is proven.

 

iii. Change of Employer:

CPT hours from the previous employer can be carried forward. The new employer can rely on the individual's declaration and evidence; it is not accountable for prior non-compliance but must ensure ongoing compliance. No need to apportion hours by employment periods.

 

iv. Acceptable CPT Activities:

Time spent on relevant activities with significant intellectual/practical content and interaction, including: attending courses/workshops/lectures/seminars (face-to-face or virtual); distance learning with assignments; self-study/online courses with independent assessments (e.g., evaluations or tests); industry research; publication of papers; delivery of speeches; giving lectures/teaching; providing comments to industry consultation papers; attending SFC regulatory committees or formal working groups; luncheon talks (0.5 hour credit). Records must demonstrate fulfillment and duration.

 

v. Unacceptable Activities:

Normal working activities, on-the-job training, general reading of financial press or literature, activities without interaction, language courses (generally), repeated CPT activities with the same content. Excess hours cannot be carried forward to the next year.


vi. Record-Keeping:

Individuals must retain records of CPT activities (e.g., certificates, attendance proofs, examination results) for at least 3 years, available for SFC inspection upon request.

 

vii. Annual Confirmation:

LRs and ROs must confirm compliance (or explain non-compliance) annually via electronic returns to the SFC for the previous calendar year.

 

 viii. Additional Hours Requirements:

The SFC may impose additional CPT hours in certain cases, such as for exemptions from recognized industry qualifications or local regulatory framework papers (refer to Guidelines on Competence).


**Failure to meet these requirements may reflect adversely on fitness and properness, potentially leading to disciplinary action by the SFC. We encourage proactive planning to ensure full adherence.**


Updated ComplianceOne Online Training Platform for 2025


ComplianceOne’s Online Training Platform has been fully updated in 2025!

You can now:

  • Browse the latest courses

  • Purchase required training courses

  • Complete courses online at your own pace

  • Download certificates and keep record


English Version: https://complianceone.thinkific.com/pages/cpten

Chinese Version: https://complianceone.thinkific.com/collections/cptzh

 


For further inquiries, please contact us via:

1. WhatsApp: +852 5490 8117

2. WeChat: CompOneCS

3. Email: cs@complianceone.hk

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