[Webinar] Account Opening Documentation and Procedures

Overview

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

Content

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

Man YAU

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.

Details

Code

TPRCR21000203

Date & Time

Wednesday, 20 Oct 2021 (6:30PM - 8:30PM)

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

More

Language

Trad. Chi / Cantonese

Hours

SFC:2.00, PWMA:2.00