Training Calendar

Regulatory Update on AML, Selling Practices and Code of Conduct (TPRCR17004301)

Course Overview

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.

Course Content

• Update on AML/CFT developments

• Identified areas of concerns identified by regulators based on their recent inspection and reviews

• Update on relevant regulatory requirement and/or guidelines − guidance on suitability obligations − triggering of suitability obligations − compliance with suitability obligations

• recent enforcement cases related to selling practices and misconduct

Course Instructor: Mr. Monty Yuen, B.Comm., LLM, CFP, PFP, CIM, FCSI, CAMS

Mr. Monty Yuen, holder of B. Comm. and LLM, has over ten years of experience in different capacities in the financial industry and is currently a senior compliance manager of a financial institution. Prior to that, he was a manager of Enforcement Division of Securities & Futures Commission. Prior to joining the financial industry and the SFC, Mr. Yuen was a senior inspector with the Royal Hong Kong Police Force.

Mr. Yuen also successfully obtained the CFP, PFP, CIM, FCSI and CAMS designations.

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.

Administrative Details
Course Code : TPRCR17004301
Date & Time :
  • 24/07/2017 (6:30pm - 9:30pm)
Venue :

Room 510, 5th Floor, Wing On Centre, 111 Connaught Road Central, Hong Kong

Language : Cantonese
Level : Intermediate
Course Hours :
  • 3 CPT hour recognized by SFC
  • 3 CPD Hours recognized by OCI
Course Fees :

1.HK$750 2.HK$1,080

1. HKSI Institute Individual Member (M00001/FM00001), Student Member (U00001)
or Staff of HKSI Corporate Member (C00001)
2. Standard Price (for Public)