Regulatory Requirement for Selling Financial Products Review and Updates Module 5: Regulatory Compliance Review and Updates

Course Code:

PE4200705

Start Date:

To Be Advised

Hours:

2.0

Level:

Short Course

Application Form

Email:

peak@vtc.edu.hk

Enquiry:

28361922

Programme Information

1. Frequently Asked Questions on Customer Due Diligence

2. Frequently Asked Questions on Compliance with Suitability Obligations

3. Securities margin Financing

4. SFC-HKMA Joint Survey on the Sale of Non-exchange Traded Investment Products 2021

5. Measures for augmenting senior management accountability in licensed corporations

6. Report on the SFC’s review of global financial groups’ foreign exchange activities in Hong Kong

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: 2(Ethics or Regulations)

MPFA Non-core CPD Hours: 2

SFC CPT Hours: 2

HKMA ECF CPD Hours 2

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