概要

The course aims to raise awareness of ethical pitfalls by highlighting regulatory expectations and examining case studies.

Participants will have the opportunity to explore past local and overseas cases relevant to private wealth management, enabling them to learn and stay alert when faced with ethical dilemmas at the workplace.

內容

• Ethics vs. compliance – What is the difference
• Avoid falling into cracks: Understand the importance of ethics and key regulatory expectations regarding sound business conduct
• Case studies – Lesson learned from ethical pitfalls in practice
• From dilemmas to decisions: Navigate difficult choices

對象

The webinar is primarily targeted at senior management and practitioners working in private wealth management institutions. Additionally, it welcomes participation from MIC and RO of relevant LC, compliance officers, risk managers and other banking practitioners who are interested in understanding this topic.

資產財富管理業先導計劃 - 專業培訓資助計劃

本課程已被審批為「提升資產財富管理業人才培訓先導計劃」（以下簡稱「資產財富管理業先導計劃」 其下之「專業培訓資助計劃」（以下簡稱「本計劃」）。本計劃旨在提升資產財富管理業在職從業員的專業能力水準及協助金融服務業內其他從業員學習所需的知識和技能，使他們能投身資產財富管理業。合資格之申請人按香港證券及投資學會之要求完成課程後將可獲香港特區政府資助80%學費，上限為HK$15,000。 香港證券及投資學會為資產財富管理業先導計劃之執行機構，有關申請要求之細則及手續，請參閱專為資產財富管理業先導計劃而設之網站(https://www.wamtalent.org.hk/)。