(此課程簡介只提供英文版)
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
