Programme Content
1. Latest development of regulatory requirements (HKMA, current issues)
2. Sharing on the latest case of selling of investment products (HKMA, Complaints Watch, current
issues)
3. Product due diligence (SFC, FAQs on Compliance with Suitability Obligations by Licensed or
Registered Persons, Latest version)
4. KYC and customer risk profiling (SFC, FAQs on Compliance with Suitability Obligations by
Licensed or Registered Persons, Latest version)
5. Suitability assessment and selling practices (SFC, FAQs on Compliance with Suitability
Obligations by Licensed or Registered Persons, Latest version)
6. Financial Account Information in tax matters (Automatic Exchange of Financial Account
Information)
7. Implementation Arrangements for the Cross-boundary Wealth Management Connect Pilot
Scheme in the Guangdong-Hong Kong-Macao Greater Bay Area (HKMA, 10 September 2021)
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
