Compliance, Legislative & Regulatory Standards

[網上研討會] 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

1. 香港防洗錢的情況及新發展

2. 監管機構的觀察和調查報告

3. 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

4.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

Monty YUEN
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
TPRCR20002704
Date & Time
Monday, 30 Nov 2020 (6:30PM - 9:30PM)
Venue
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Type 6 - Advising on corporate finance
Type 7 - Providing automated trading services
Type 8 - Securities margin financing
Type 9 - Asset management
Type 10 - Providing credit rating services
Type 11 - Dealing in OTC derivative products or advising on OTC derivative products
Type 12 - Providing client clearing services for OTC derivative transactions
Regulatory Compliance
Language
Trad. Chi / Cantonese
Hours
SFC:3.00, PWMA:3.00