Fulfilling Suitability Obligations

Fulfilling Suitability Obligations

Overview

This course will discuss the suitability requirement applicable to the sales of investment products under the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission.

Objective

To promote awareness and enhance understanding of suitability requirement.

Content

1. Classification of investment products — non-complex or complex product.
2. What is product suitability?
3. Conducting customer risk profiling.
4. Matching customer risk profiling to products offered to clients.
5. Documents and disclosure to clients.
6. Guideline on Online Distribution and Advisory Platforms

Who should attend

Practitioners in the securities industry, and operation officers who perform checking of customer risk profiling questionnaires.

Speaker/Course Instructor

Stella LAM
Ms Lam is both an experienced banker, and a training expert. Having gained a decade of experience in consumer banking and branch management at an international leading bank, she made a shift to the learning and development field - she was a university teaching staff, and she led the personal banking training department in various banks. Ms Lam obtained her Master in Human Resource Management and Training from the University of Leicester and Master in Finance from the City University of Hong Kong. She is a Certified Financial PlannerCM, Associate of the Hong Kong Institute of Bankers and Associate of the Chartered Institute of Bankers. She obtained Advanced Certificate for ECF Anti-Money Laundering and Counter-Financing of Terrorism in 2018.

Details

Code
TPRCR19009002
Date & Time
Monday, 28 Oct 2019 (6:30PM - 8:30PM)
Wednesday, 30 Oct 2019 (6:30PM - 8:30PM)
Venue
HKSI Institute Training Centre
Language
Cantonese
Level
Introductory
Hours
SFC:4.00, PWMA:4.00
Fees
All Member: HK$880
Staff of Corporate Member: HK$880
Non-Member: HK$1760