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. Conduct Product Diligence.
5. Matching personal circumstances of client to product offered to clients.
6. Help clients make informed decisions.
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.
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.