Regulatory Requirements for Selling Financial Products Review and Updates Module 2: Sales Compliance Review and Updates II

Course Code:

PE4200702

Start Date:

To Be Advised

Hours:

3.0

Level:

Short Course

Application Form

Email:

peak@vtc.edu.hk

Enquiry:

28361922

Course Outline

1. Code of conduct

2. Risk-based approach (HKMA, Guideline on AML & CTF)

3. Account opening procedure (SFC)

4. Know Your Client process and customer risk profiling (SFC, Code of Conduct)

5. Suitability assessment and selling practices (SFC, FAQs on Compliance with Suitability Obligations by Licensed or Registered Persons)

6. Frequently Asked Questions on Investor Protection Measures in respect of Sale of Investment Products

7. Sale and Distribution of Debt Instruments with Loss-absorption Features and Related Products

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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