(This course provides Chinese introduction only)
合適性規定確保金融產品和服務與客戶需求相匹配，減少投資風險。監管機構的更新要求金融專業人士瞭解和遵守最新的合適性規定，包括客戶調查、產品選擇和風險評估等方面。本課程可以提高客戶保護水準，降低不當推薦和投資爭議的風險，並增強行業的透明度和信任度。
1. 持牌人的合適性規定
2. 了解你的客戶和客戶風險分析
3. 盡職調查和產品選擇
4. 評估過程中需要考慮的關鍵因素
5. 合適性規定的最佳實踐
6. 遵守合適性規定的簡化方法
7. 近期合適性規定的執法案例
8. 日常控制和程序的要點
Enrollment
- Enrollment of virtual CPD programmes can only be made through VTC’s Continuing & Professional Education website (https://cpe.vtc.edu.hk/en). The programme fees must be paid online by Credit Card (Visa / Master). Only enrollment with completed information and payment will be processed.
- Applicants should upload* a copy of your Hong Kong Identity (HKID) Card / Passport / Travel Document, or valid visa / entry permit for study issued by the Immigration Department of the Hong Kong Special Administrative Region (HKSAR) during the enrollment process for identity verification purpose. The uploaded image should only show your full name in both English and Chinese with your photo. Other personal information must be covered.
* File size shall be less than 4 MB. File format shall be in jpg, jpeg, pdf or png.
- All places are allocated on a first-come-first-served basis. Incomplete forms and forms received without payment will not be processed.
Notification of Class Commencement
Successful applicants will be notified of the class confirmation and relevant information by email at least 7 working days## before class commencement. Login information including Meeting ID and Passcode, and Student Login ID will be sent to students by email 3 working days## before class commencement. Please contact us at 2836 1892 if you do not receive the notification and/or login information 3 working days## before the class commencement.
## Working days (exclusive of Saturdays, Sundays and Public Holidays)
Applicants should ensure their digital devices be equipped with a video camera and connected to a stable network before enrolling the virtual CPD Programme.
Students are required to show themselves in front of the camera throughout the lesson, otherwise the CPD / CPT hours will be deducted.
Certificate
Students who have participated in PEAK’s CPD short courses via virtual classrooms and achieved an attendance rate of 80% or higher may download their certificates from PEAK’s website (www.peak.edu.hk) starting from the 6th working day upon completion of the respective courses. The certificates shall be downloaded within three months from the date of course completion.
Note: Only electronic form of Certificate (“e-Certificate”) will be provided for virtual CPD short courses that commence on or after 1 May 2026. For enquiries, please call 2836 1922.
