Selling and Suitability Process - Practical Guide for Private Banking

Selling and Suitability Process - Practical Guide for Private Banking

Overview

This course provides a practical implementation guide to private bankers to enable them to comply with the selling and suitability regulatory requirements.
 

Content

- Overview of new suitability requirements and SFC professional investor and client agreement consultation conclusion
- Discuss the latest HKMA filed assessment onto “Investment Selling Practices” upon issues; best practices, desirable behaviour & gap analysis
- Sharing on the practical implementation of Selling & Suitability Process & Procedures
- Review of selected litigation cases relating to proper risk disclosure vs contractual exclusion of liability
 

Who should attend

This course is most suitable to those in-service practitioners who are working in the private banking sector.
 

Speaker/Course Instructor

MA Wai Kwok Alvin
Mr Ma has been involved in the wealth management & investment banking field for over 35 years. He received his Master of Science in Accounting and Finance from the Oklahoma State University, U.S.A. Alvin was Head of Private Banking of a global private bank responsible for HK, Macau & PRC wealth management business development and marketing. He also has held various senior positions in major international and mainland Chinese banks prior to the current role.

Alvin has extensive training experience and is one of the Certified Private Wealth Professional (CPWP) Module 1 trainer.

Details

Code
TPRCR17005401
Date & Time
Thursday, 7 Dec 2017 (6:30PM - 9:30PM)
Venue
HKSI Institute Training Centre
Language
Cantonese
Hours
SFC:3.0, PWMA:3.0
Fees
All Member: HK$750
Staff of Corporate Member: HK$750
Non-Member: HK$1500