防洗錢、最新監管要求及行為規範

防洗錢、最新監管要求及行為規範

Overview

本課程透過監管機構的觀察和調查報告及執法個案,提醒前線銷售人員相關的主要監管要求,並提供對日常業務相關的最新監管發展。

Content

  • 香港防洗錢的情況及新發展
  • 監管機構的觀察和調查報告
  • 最新監管要求及行為規範
    - 觸發為客戶提供合理適當建議的責任
    - 遵守為客戶提供合理適當建議的責任
  • 執法個案

Who should attend

本課程適合銀行、證券行、基金公司之前線銷售人員,參與者應對證券期貨業監管架構有基本認識。

Speaker/Course Instructor

YUEN Mou Chung Monty
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

Details

Code
TPRCR17002701
Date & Time
Tuesday, 19 Dec 2017 (6:30PM - 9:30PM)
Venue
HKSI Institute Training Centre
Language
Cantonese
Level
Advanced
Hours
SFC:3.0, PWMA:3.0, IA/OCI:3.0