(此課程簡介只提供英文版)
Programme Content
1. Latest development of regulatory requirements (HKMA, current issues)
2. Sharing on the latest case of selling of investment products (HKMA, Complaints Watch, current
issues)
3. Product due diligence (SFC, FAQs on Compliance with Suitability Obligations by Licensed or
Registered Persons, Latest version)
4. KYC and customer risk profiling (SFC, FAQs on Compliance with Suitability Obligations by
Licensed or Registered Persons, Latest version)
5. Suitability assessment and selling practices (SFC, FAQs on Compliance with Suitability
Obligations by Licensed or Registered Persons, Latest version)
6. Financial Account Information in tax matters (Automatic Exchange of Financial Account
Information)
7. Implementation Arrangements for the Cross-boundary Wealth Management Connect Pilot
Scheme in the Guangdong-Hong Kong-Macao Greater Bay Area (HKMA, 10 September 2021)
