Regulatory Requirement for Selling Financial Products Review and Updates Module 3 Banking / Securities Compliance Review and Updates

Course Code:

PE4200703

Start Date:

To Be Advised

Hours:

3.0

Level:

Short Course

Application Form

Email:

peak@vtc.edu.hk

Enquiry:

28361922

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

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