Compliance, Legislative & Regulatory Standards

[Webinar] Account Opening Documentation and Procedures


This course aims to provide practitioners a general understanding of the relevant regulatory requirements, procedures, documentation and other related issues for account opening.


1. SFC regulations applicable to account opening procedures:
- Securities & Futures Ordinance
- Client Securities Rules
- Keeping of Records Rules
- Code of Conduct for Licensed or Registered Persons
- Client Identity Rule Policy
- Guidance Note on Prevention of Money Laundering and Terrorist Financing

2. Account opening documentation: Know-your-client Checklist, Client Agreement and Risk Disclosure Statements

3. Specific group of clients
- Non-face-to-face account opening by online brokers
- One-off disposal of IPO securities
- Account opening for employees of SFC licensed or registered intermediaries
- Professional investors

Who should attend

This course is mainly targeted to financial services practitioners who have a role to carry out the client account opening procedures. It is also relevant to those who have a role to monitor the account opening procedures or to ensure compliance.

Speaker/Course Instructor

Ms. Yau was a Senior Compliance Manager of a bank and has extensive experiences in compliance function of various financial institutions. She is experienced in delivering compliance related training. She was awarded the degrees of the Bachelor Degree of Arts in Accountancy and the Master of Laws in Corporate & Financial Law.


Date & Time
Monday, 5 Jul 2021 (6:30PM - 8:30PM)
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
Trad. Chi / Cantonese
SFC:2.00, PWMA:2.00