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Regulatory Requirements for Selling Financial Products Review and Updates Module 2: Sales Compliance Review and Updates II
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
Course Code | Programme | Level | |
2024/06/07 | Date:7.6.2024 Time: 2:30pm - 5:30pm Duration:3 hours Venue: 9/F, VTC Tower, 27 Wood Road, WanChai
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