道德与合规 单元二：金融业的监管架构与市场失当行为 课程编号: PE4200841 开课日期: 2026/05/07 上课时数: 3.0 程度: 短期课程 费用: $330 申请表 电邮: peak@vtc.edu.hk 查询: 28361922 课程资料 (此课程简介只提供英文版) Module 2: Regulatory framework and market misconduct for financial industry Regulatory Overview in Hong Kong SFC Code of Conducts SFC Internal Control Guidelines Guideline on Anti-Money Laundering and Counter-Financing of Terrorists Anti-Bribery and Anti-Corruption Fiduciary Obligations Practical case studies Market misconduct Key forms of misconduct Treat Customers Fairly Principle Recent enforcement cases for banking sector Recent enforcement cases for insurance sector Recent enforcement cases for securities sector Red flags of inappropriate behaviour and oversight mechanism 一般资料 授课语言 除一些指定以英语授课的课程外,所有课程均以广东话授课,部份辅以英文专业用语 持续专业进修(CPD)/持续培训(CPT)时数 IA CPD Hours: 3 (Ethics or Regulations) MPFA Non-core CPD Hours: 3 SFC CPT Hours: 3 HKMA ECF CPD Hours 3 时间表 2026/05/07日期：7.5.2026时间：6:45pm-9:45pm时数：3小时地点：香港湾仔活道27号职业训练局大楼9字楼 bookmark 加入书签
课程编号: PE4200841 开课日期: 2026/05/07 上课时数: 3.0 程度: 短期课程 费用: $330 申请表 电邮: peak@vtc.edu.hk 查询: 28361922 课程资料 (此课程简介只提供英文版) Module 2: Regulatory framework and market misconduct for financial industry Regulatory Overview in Hong Kong SFC Code of Conducts SFC Internal Control Guidelines Guideline on Anti-Money Laundering and Counter-Financing of Terrorists Anti-Bribery and Anti-Corruption Fiduciary Obligations Practical case studies Market misconduct Key forms of misconduct Treat Customers Fairly Principle Recent enforcement cases for banking sector Recent enforcement cases for insurance sector Recent enforcement cases for securities sector Red flags of inappropriate behaviour and oversight mechanism 一般资料 授课语言 除一些指定以英语授课的课程外,所有课程均以广东话授课,部份辅以英文专业用语 持续专业进修(CPD)/持续培训(CPT)时数 IA CPD Hours: 3 (Ethics or Regulations) MPFA Non-core CPD Hours: 3 SFC CPT Hours: 3 HKMA ECF CPD Hours 3 时间表 2026/05/07日期：7.5.2026时间：6:45pm-9:45pm时数：3小时地点：香港湾仔活道27号职业训练局大楼9字楼 bookmark 加入书签
