Overview

This course provides a practical implementation guide to private bankers to enable them to comply with the selling and suitability regulatory requirements.
 

Content

- Overview of new suitability requirements and SFC professional investor and client agreement consultation conclusion
- Discuss the latest HKMA filed assessment onto “Investment Selling Practices” upon issues; best practices, desirable behaviour & gap analysis
- Sharing on the practical implementation of Selling & Suitability Process & Procedures
- Review of selected litigation cases relating to proper risk disclosure vs contractual exclusion of liability
 

Who should attend

This course is most suitable to those in-service practitioners who are working in the private banking sector.
 

Financial Incentive Scheme of the WAM Pilot Programme

This is one of the eligible courses / seminars / conferences under the Financial Incentive Scheme (“The Scheme”) of the WAM Pilot Programme.

Eligible in-service practitioners of the financial services industry could apply for reimbursement of 80% of the course fees, subject to a maximum of HK$7,000 (whichever is lower) upon satisfactory completion of a course / seminar / conference over the three-year period of the Scheme.

Each individual may apply for reimbursement for more than one course / seminar / conference.

Application to reimburse the course fees, together with the required documents, must be submitted within four months from the last day of the course / seminar / conference attended. Please refer to the WAM Pilot Programme website for more details.