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.

Content

1. Update on AML/CFT developments

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

3. Update on relevant regulatory requirement and/or guidelines
- guidance on suitability obligations
- triggering of suitability obligations
- compliance with suitability obligations

4 Recent enforcement cases related to selling practices and misconduct

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.

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。