Regulatory Requirements for Selling Financial Products Updates Module 7 : Latest Banking/Securities Compliance

Course Code:

PE4200244

Start Date:

To Be Advised

Hours:

3.0

Level:

Short Course

Application Form

Email:

peak@vtc.edu.hk

Enquiry:

Tel:28361922

Programme Contents

• Protecting Client Assets Against Internal Misconduct

• Latest Banking Complaint cases

• Latest Operational Incidents cases

• Latest AML requirement

• Latest Risk management measures in mortgage

• Cyber securities initiatives

• Securities control on internet banking

• Fintech supervisory sandbox

• Financial Account Information in tax matters

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

Course Code	Programme	Level
PE4200245	Regulatory Requirements for Selling Financial Products Updates Module 8: Selling Practice in Hong Kong	Short Course

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