Best Practices for Financial Products Intermediaries Module 1 - Sales Compliance Reviews and Updates I Course Code: PE4200507 Start Date: To Be Advised Hours: 3.0 Level: Short Course Application Form Email: peak@vtc.edu.hk Enquiry: 28361922 Programme Information Programme Contents • Securities and Futures Commission - Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission • General principles • Honesty and fairness • Diligence • Capabilities • Information about clients • Information for clients • Conflicts of interest • Client’s assets • Compliance • Responsibility of senior management General Information 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 (Ethic or Regulations) MPFA Non-core CPD Hours: 3 SFC CPT Hours: 3 HKMA ECF CPD Hours 3 Relevant Programmes Course CodeProgrammeLevel bookmark Bookmark this
Course Code: PE4200507 Start Date: To Be Advised Hours: 3.0 Level: Short Course Application Form Email: peak@vtc.edu.hk Enquiry: 28361922 Programme Information Programme Contents • Securities and Futures Commission - Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission • General principles • Honesty and fairness • Diligence • Capabilities • Information about clients • Information for clients • Conflicts of interest • Client’s assets • Compliance • Responsibility of senior management General Information 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 (Ethic or Regulations) MPFA Non-core CPD Hours: 3 SFC CPT Hours: 3 HKMA ECF CPD Hours 3 Relevant Programmes Course CodeProgrammeLevel bookmark Bookmark this
