销售金融产品的监管要求重温及新知 单元二: 销售合规审查及新知 II

(此课程简介只提供英文版)

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