[CPT Seminar] Practical FRR Filing/Monitoring

Introduction

ComplianceOne Consulting Limited is pleased to present a comprehensive professional seminar tailored specifically for all licensed corporations that do not hold client assets. Managing Financial Resources Rules (FRR) compliance is a fundamental operational blueprint for maintaining regulatory licenses in Hong Kong. This seminar is meticulously designed for all licensed corporations engaged in regulated activities—including securities brokerage, futures brokerage, and asset management—that do not hold client assets.

Navigating FRR requirements and continuous capital monitoring can present unique regulatory and technical hurdles. This session will provide attendees with critical, actionable insights into effective FRR compilation, submission methodologies, and ongoing capital adequacy monitoring. Through practical case analysis, our experts will deconstruct common filing pitfalls and share industry best practices to ensure your firm maintains compliance seamlessly in an evolving regulatory environment, thereby enhancing your operational robustness and competitive advantage.

Key Learning Objectives

• FRR Core Principles: Master the underlying compliance frameworks and regulatory reporting logic specifically governing Non-Client Asset Holding LCs.
• Filing & Monitoring Best Practices: Explore streamlined, practical workflows for accurate FRR calculation, data verification, and capital sufficiency tracking.
• Risk Mitigation & Pitfalls: Identify and analyze frequent filing errors, operational blind spots, and common non-compliance scenarios through real-world case studies.
• Interactive Expert Q&A: Address firm-specific operational challenges directly with seasoned regulatory compliance professionals.

Target Audience

This seminar is highly recommended for Responsible Officers (ROs), Licensed Representatives, Finance Directors, Compliance Officers, and License Applicants operating or planning to launch business models that do not hold client assets within the securities, futures, or asset management sectors.

Event Details

• Date: June 11th, 2026 (Thursday)
• Time: 5:00 PM – 6:30 PM (HKT)
• Format: Physical Attendance + Online (Zoom Webinar)
• Venue: HKMA Learning Centre (Central)
• Address: 14/F Fairmont House, 8 Cotton Tree Drive, Central, Hong Kong
• Language: English
• Entrance Fee: Free of Charge
• CPT Credit: 1 CPT Hours
• Note: An administrative fee of $100 HKD applies for the issuance of the official CPT Attendance Certificate.

Speakers

• Tommy Chung – Head of Compliance, ComplianceOne Consulting Limited
• Ryan Lee – Compliance Consultant, ComplianceOne Consulting Limited

Registration Note

We cordially invite you and your industry peers to join us for this high-value regulatory session. Please feel free to share this event overview and the registration link with colleagues and partners who would benefit from these compliance insights.

Contact: +852 3753 5662 (Ms. Jackie Chan)