Compliance, Legislative & Regulatory Standards
This course aims to
- refresh / remind the target participants the key regulatory requirements that they should be aware of
- update them with the latest / new regulatory development which may have impact on their day to day operations.
1. Update on AML/CFT developments
2. Identified areas of concerns identified by regulators based on their recent inspection and reviews
3. Update on relevant regulatory requirement and/or guidelines
- guidance on suitability obligations
- triggering of suitability obligations
- compliance with suitability obligations
4 Recent enforcement cases related to selling practices and misconduct
Who should attend
This course is primarily targeted to those licenced individuals who involve in selling of investment products. The participants should have the basic knowledge of regulatory framework in securities and futures industry.
Prior to joining the financial industry, he was a manager of the Enforcement Division of the Securities & Futures Commission. Prior to that, Mr. Yuen was a senior inspector with the Royal Hong Kong Police Force.