This course aims to
- refresh / remind the target participants the key regulatory requirements that they should be aware of
- update them with the latest / new regulatory development which may have impact on their day to day operations.
For each topic the key content will be:
1. Recap of the key requirements that are relevant to the target learns
2. Share of real life exaples, cases or regulator's report to illustrate the best parctices and/or lesson learned
3. Updates on the recent changes or revision
Who should attend
This course is primarily targeted to those licenced individuals who involve in selling of investment products. The participants should have the basic knowledge of regulatory framework in securities and futures industry.