Selling and Suitability Process - Practical Guide for Private Banking
This course provides a practical implementation guide to private bankers to enable them to comply with the selling and suitability regulatory requirements.
- Overview of new suitability requirements and SFC professional investor and client agreement consultation conclusion
- Discuss the latest HKMA filed assessment onto “Investment Selling Practices” upon issues; best practices, desirable behaviour & gap analysis
- Sharing on the practical implementation of Selling & Suitability Process & Procedures
- Review of selected litigation cases relating to proper risk disclosure vs contractual exclusion of liability
Who should attend
This course is most suitable to those in-service practitioners who are working in the private banking sector.
Financial Incentive Scheme of the WAM Pilot Programme
This is one of the eligible courses under the Financial Incentive Scheme (“The Scheme”) of the WAM Pilot Programme.
In-service practitioners of the financial services industry will be eligible for the Scheme. They will be reimbursed 80% of the course fees, subject to a maximum of HK$7,000 (whichever is the lower) upon satisfactory completion of a course or seminar over the three-year period of the Scheme.
Each individual may apply for reimbursement for more than one course / seminar.
Application to reimburse the course fees, together with the required documents, must be submitted within four months from the last day of the course attended.
Please refer to the WAM Pilot Programme website for more details.
Alvin has extensive training experience and is one of the Certified Private Wealth Professional (CPWP) Module 1 trainer.