Compliance, Legislative & Regulatory Standards
[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 suitability obligations?
3. Know your clients.
4. Product due diligence.
5. Matching personal circumstances of client to product offered to clients.
6. Documentation and disclosure to clients.
7. 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.
Financial Incentive Scheme of the WAM Pilot Programme
This is one of the eligible courses / seminars under the Financial Incentive Scheme (“The Scheme”) of the WAM Pilot Programme.
Eligible in-service practitioners of the financial services industry could apply for a reimbursement up to 80% of the course / seminar fees, or a maximum of HK$10,000 per person for courses/seminars held for the period from 1 October 2016 to 31 August 2022 upon satisfactory completion.
Each individual may apply for reimbursement for more than one course / seminar subject to a maximum of HK$10,000 but each course / seminar can only be reimbursed once.
The duly signed application form together with the FIVE supporting documents must be submitted within FOUR months from the last day of the course / seminar attended. Please refer to the WAM Pilot Programme website for more details.
WAM Pilot Programme Special Requirements
If you plan to apply for reimbursement under the Financial Incentive Scheme (FIS), please ensure your device/computer has the camera feature or with webcam installed as you are required to turn on your camera throughout the webinar.
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.