Selling and Suitability Process - Practical Guide for Private Banking
This course provides a practical implementation guide to private bankers to enable them to comply with the selling and suitability regulatory requirements.
- 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.
Alvin has extensive training experience and is one of the Certified Private Wealth Professional (CPWP) Module 1 trainer.