Enhancements to the competency framework for intermediaries and individual practitioners by the Securities and Futures Commission in Hong Kong

Michael B.T. WONG; Ryan W.C. SHUM; Leah Y. LI

Enhancements to the competency framework for intermediaries and individual practitioners by the Securities and Futures Commission in Hong Kong

Michael B.T. WONG, Ryan W.C. SHUM, Leah Y. LI

Research output: Journal Publications › Policy or Profession paper › Policy › peer-review

Abstract

Discusses the Hong Kong Securities and Futures Commission's revisions to the Competency Framework for Intermediaries and Individual Practitioners in financial markets. Reviews the reasons for the changes and the main reforms, including raising the minimum academic requirements for practitioners.

Original language	English
Pages (from-to)	207-212
Number of pages	6
Journal	Company Lawyer
Volume	44
Issue number	6
Publication status	Published - 2023
Externally published	Yes

Keywords

Financial intermediaries
Financial regulation
Hong Kong
Professional qualifications
Securities

Cite this

@article{cd19bd8d182a404581acf0c08450ae7c,

title = "Enhancements to the competency framework for intermediaries and individual practitioners by the Securities and Futures Commission in Hong Kong",

abstract = "Discusses the Hong Kong Securities and Futures Commission's revisions to the Competency Framework for Intermediaries and Individual Practitioners in financial markets. Reviews the reasons for the changes and the main reforms, including raising the minimum academic requirements for practitioners.",

keywords = "Financial intermediaries, Financial regulation, Hong Kong, Professional qualifications, Securities",

author = "WONG, {Michael B.T.} and SHUM, {Ryan W.C.} and LI, {Leah Y.}",

year = "2023",

language = "English",

volume = "44",

pages = "207--212",

journal = "Company Lawyer",

issn = "0144-1027",

publisher = "Sweet and Maxwell",

number = "6",

}

TY - JOUR

T1 - Enhancements to the competency framework for intermediaries and individual practitioners by the Securities and Futures Commission in Hong Kong

AU - WONG, Michael B.T.

AU - SHUM, Ryan W.C.

AU - LI, Leah Y.

PY - 2023

Y1 - 2023

N2 - Discusses the Hong Kong Securities and Futures Commission's revisions to the Competency Framework for Intermediaries and Individual Practitioners in financial markets. Reviews the reasons for the changes and the main reforms, including raising the minimum academic requirements for practitioners.

AB - Discusses the Hong Kong Securities and Futures Commission's revisions to the Competency Framework for Intermediaries and Individual Practitioners in financial markets. Reviews the reasons for the changes and the main reforms, including raising the minimum academic requirements for practitioners.

KW - Financial intermediaries

KW - Financial regulation

KW - Hong Kong

KW - Professional qualifications

KW - Securities

M3 - Policy or Profession paper

SN - 0144-1027

VL - 44

SP - 207

EP - 212

JO - Company Lawyer

JF - Company Lawyer

IS - 6

ER -

Enhancements to the competency framework for intermediaries and individual practitioners by the Securities and Futures Commission in Hong Kong

Abstract

Keywords

Fingerprint

Cite this