Regulatory Requirements for Selling Financial Products Review and Updates Module 1 Sales Compliance Review and Updates I (Virtual class through Zoom)

Course Code

PE4200701

Start Date:

To Be Advised

Hours

3.0

Level

Short Course

Application Form

peak@vtc.edu.hk

Enquiry: 2836 1922

Programme Content

1. Sound practices for customer data protection

2. Latest Complaints in Banking Industry

3. Guideline on Banking Services for Persons with Dementia

4. Latest regulatory development of AML/CFT

5. Handling of dormant accounts and unclaimed deposits

6. Joint circular on intermediaries’ virtual asset-related activities

7. Credit Risk Management for Personal Lending Business

Teaching Language

All classes are conducted in Cantonese, supplemented with English terminology. (Except courses are specified conducted in English)

Continuing Professional Development (CPD)/Continuous Professional Training (CPT) hours

IA CPD Hours: 3 (Ethics or Regulations)

MPFA Non-core CPD Hours: 3

SFC CPT Hours: 3

HKMA ECF CPD Hours 3

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