[Webinar]: Fulfilling Suitability Obligations
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.
To promote awareness and enhance understanding of suitability requirement.
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.
Ms Lam graduated from University of Manchester Institute of Science and Technology. She then attained Master in Finance from the City University of Hong Kong and Master in Human Resource Management and Training from the University of Leicester. She is a Certified Financial Planner®, an Associate of the Chartered Institute of Bankers and a Certified Banker. She gained the Professional Certificate for ECF Anti-Money Laundering and Counter-Financing of Terrorism in 2020.
Please note: This webinar will be delivered via WebEx. To qualify for CPT/OPT hours, participants are required to attend the full webinar.
You may want to check if WebEx works on your device prior to enrolment, click here to test.