Regulatory Compliance Training Module 3: Regulatory Updates and Suitability Requirements

Course Code:

PE4200767

Start Date:

2026/02/13

Hours:

3.0

Level:

Short Course

Fee:

$330

Application Form Apply Now

Email:

peak@vtc.edu.hk

Enquiry:

2836 1922

(This course provides Chinese introduction only)

合適性規定確保金融產品和服務與客戶需求相匹配，減少投資風險。監管機構的更新要求金融專業人士瞭解和遵守最新的合適性規定，包括客戶調查、產品選擇和風險評估等方面。本課程可以提高客戶保護水準，降低不當推薦和投資爭議的風險，並增強行業的透明度和信任度。

1. 持牌人的合適性規定

2. 了解你的客戶和客戶風險分析

3. 盡職調查和產品選擇

4. 評估過程中需要考慮的關鍵因素

5. 合適性規定的最佳實踐

6. 遵守合適性規定的簡化方法

7. 近期合適性規定的執法案例

8. 日常控制和程序的要點

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

2026/02/13

Date: 13.02.2026
Time: 10:00am - 1:00pm
Duration: 3 hours
Virtual class through Zoom

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