銷售金融產品的監管要求重溫及新知 單元二: 銷售合規審查及新知 II

(此課程簡介只提供英文版)

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