Compliance, Legislative & Regulatory Standards

[Webinar]: Fulfilling Suitability Obligations

Overview

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.

Objective

To promote awareness and enhance understanding of suitability requirement.

Content

1. Classification of investment products — non-complex or complex product.
2. What is product suitability?
3. Conducting customer risk profiling.
4. Matching customer risk profiling to products offered to clients.
5. Documents and disclosure to clients.
6. 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.

Speaker/Course Instructor

Stella LAM
Ms Lam is both an experienced banker, and a seasoned trainer. Having gained a decade of experience in consumer banking and branch management at an international leading bank, she made a shift to the learning and development field - she was a university teaching staff, and she led the personal banking training department in different banks. She is now a consultant to various financial institutions.

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.

Details

Code
TPRCR20009001
Date & Time
Monday, 22 Jun 2020 (12:00PM - 2:00PM)
Tuesday, 23 Jun 2020 (12:00PM - 2:00PM)
Venue
Virtual Platform
Relevant Subject
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Type 6 - Advising on corporate finance
Type 9 - Asset management
Language
Trad. Chi / Cantonese
Hours
SFC:4.00, PWMA:4.00

Please note: This webinar will be delivered via WebEx.  To qualify for CPT/OPT hours, participants are required to attend the full webinar.

You may want to check if WebEx works on your device prior to enrolment, click here to test