Regulatory Requirements for Selling Financial Products Updates Module 4: Customer Due Diligence Review & Update

Course Code:

PE4200172

Start Date:

To Be Advised

Hours:

3.0

Level:

Short Course

Application Form

Email:

peak@vtc.edu.hk

Enquiry:

28361922

Programme Contents

• Code of conduct

• Risk-based approach

• Anti-money laundering

• Account opening procedure

• Ongoing monitoring

• Case studies

• Know Your Client process and customer risk profiling

• Suitability assessment and selling practices

• Handling of mismatches or exceptions and compliance monitoring

• Treat Customers Fairly (TCF) principles

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

MPFA Non-core CPD Hours: 3

SFC CPT Hours: 3

HKMA ECF CPD Hours 3

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