Objective
The programme aims to review the important investment sales compliance in particular for structured investment products so as to reinforce the best practice on retail investment sales.
Upon completion of the programme, participants should be able to
-.Comprehend the key contents of the sales compliance especially for structured investment products;
-.Strike the balance between sales and customers’ best interests;
-.Achieve the best selling practice
Content
-.Overview of financial service industry in Hong Kong
-.Risk exposure and disclosure
-.Risk Management Skills for Financial Service Executives
-.Professional and Ethical Standards
-.Fiduciary responsibilities for practitioners
-.Internal controls
-.Unsolicited call
-.Site investigation to retail banking business
-.Case Study
-.SFC Disciplinary Proceedings
