Ethics and Compliance Module 2: Regulatory Framework and Market Misconduct for Financial Industry Course Code: PE4200841 Start Date: To Be Advised Hours: 3.0 Level: Short Course Application Form Email: peak@vtc.edu.hk Enquiry: 28361922 Programme Information (This course introduction in provides Chinese contents only) Module 2: Regulatory framework and market misconduct for financial industry Regulatory Overview in Hong Kong SFC Code of Conducts SFC Internal Control Guidelines Guideline on Anti-Money Laundering and Counter-Financing of Terrorists Anti-Bribery and Anti-Corruption Fiduciary Obligations Practical case studies Market misconduct Key forms of misconduct Treat Customers Fairly Principle Recent enforcement cases for banking sector Recent enforcement cases for insurance sector Recent enforcement cases for securities sector Red flags of inappropriate behaviour and oversight mechanism 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 (Ethics or Regulations) MPFA Non-core CPD Hours: 3 SFC CPT Hours: 3 HKMA ECF CPD Hours 3 bookmark Bookmark this
Course Code: PE4200841 Start Date: To Be Advised Hours: 3.0 Level: Short Course Application Form Email: peak@vtc.edu.hk Enquiry: 28361922 Programme Information (This course introduction in provides Chinese contents only) Module 2: Regulatory framework and market misconduct for financial industry Regulatory Overview in Hong Kong SFC Code of Conducts SFC Internal Control Guidelines Guideline on Anti-Money Laundering and Counter-Financing of Terrorists Anti-Bribery and Anti-Corruption Fiduciary Obligations Practical case studies Market misconduct Key forms of misconduct Treat Customers Fairly Principle Recent enforcement cases for banking sector Recent enforcement cases for insurance sector Recent enforcement cases for securities sector Red flags of inappropriate behaviour and oversight mechanism 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 (Ethics or Regulations) MPFA Non-core CPD Hours: 3 SFC CPT Hours: 3 HKMA ECF CPD Hours 3 bookmark Bookmark this
