HKIB ECF-Compliance Core case studies
HKIB ECF-Compliance Core · Put your knowledge to work in context.
The Enhanced Competency Framework on Compliance (ECF-Compliance) is one of the specialist streams listed by The Hong Kong Institute of Bankers (HKIB) under its ECF Overview, alongside streams such as AML/CFT, Cybersecurity, Credit Risk Management, Operational Risk Management, Fintech and Green and Sustainable Finance. The Core Level is the entry tier of that framework: it is aimed at banking practitioners who need a structured, industry-recognised grounding in compliance rather than at seasoned specialists. The HKIB ECF-Compliance Core case studies are 5 cases and about 4,233 words.
1The 78-year-old and the 7.5% Perpetual
A Hong Kong licensed corporation holds Type 1 and Type 4 licences. Its relationship manager, Ken, has serviced Mrs Chan, a 78-year-old retired teacher, since 2016.
995 words, about 5 min2Cash Deposits and a Sudden Exit
A Hong Kong Type 1 licensed corporation has a corporate client, Golden Harvest Trading Ltd, a Hong Kong-incorporated trading company with three years of relationship history. Over the last four months, Golden Harvest has made monthly cash deposits of HKD 450,000 to HKD 520,000, split across 12 bank branches.
881 words, about 4 min3Cloud CRM, Offshore Support and a Data Breach
A Hong Kong robo-adviser licensed for Type 1 and Type 4 activities serves 40,000 Hong Kong clients. It uses a cloud-based CRM supplied by a Singapore vendor, with operational support provided by the vendor's subcontractor in India.
793 words, about 4 min4IPO, Affiliate Allocation and a Timely Research Note
Harbour Capital is a Hong Kong Type 1 licensed corporation sponsoring the IPO of MediTech, a medical device company. Harbour's affiliate is a joint bookrunner, and a fund managed by Harbour's parent is seeking a cornerstone allocation.
783 words, about 4 min5Referrals from Shenzhen
A Hong Kong Type 1 and Type 4 licensed wealth manager has 120 Mainland clients introduced by "consultants" based in Shenzhen. The consultants are not licensed in Hong Kong and are paid 40% of the management fee generated by each client.
781 words, about 4 min