Best Practices for Financial Products Intermediaries Module 1 - Sales Compliance Reviews and Updates I

Course Code:

PE4200507

Start Date:

2025/11/24

Hours:

3.0

Level:

Short Course

Fee:

$330

Application Form Apply Now

Email:

peak@vtc.edu.hk

Enquiry:

28361922

Programme Contents

• Securities and Futures Commission - Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission

• General principles

• Honesty and fairness

• Diligence

• Capabilities

• Information about clients

• Information for clients

• Conflicts of interest

• Client’s assets

• Compliance

• Responsibility of senior management

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 (Ethic or Regulations)

MPFA Non-core CPD Hours: 3

SFC CPT Hours: 3

HKMA ECF CPD Hours 3

2025/11/24

Date: 24.11.2025
Time: 9:30am-12:30pm
Duration:3 hours
Venue: 9/F, VTC Tower, 27 Wood Road, WanChai

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