Compliance, Legislative & Regulatory Standards

[網上研討會] 防洗錢、最新監管要求及行為規範

Overview

本課程透過監管機構的觀察和調查報告及執法個案,提醒前線銷售人員相關的主要監管要求,並提供對日常業務相關的最新監管發展。

Content

1. 香港防洗錢的情況及新發展

2. 監管機構的觀察和調查報告

3. 最新監管要求及行為規範
- 觸發為客戶提供合理適當建議的責任
- 遵守為客戶提供合理適當建議的責任

4.執法個案

Who should attend

本課程適合銀行、證券行、基金公司之前線銷售人員,參與者應對證券期貨業監管架構有基本認識。

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 throughout the period of 1 October 2016 to 31 March 2023 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.

Speaker/Course Instructor

Monty YUEN
Mr. Monty Yuen, holder of B. Comm. and LLM, has over ten years of experience in different capacities in the financial industry and is currently a senior compliance manager of a financial institution. Prior to that, he was a manager of Enforcement Division of Securities & Futures Commission. Prior to joining the financial industry and the SFC, Mr. Yuen was a senior inspector with the Royal Hong Kong Police Force. Mr. Yuen also successfully obtained the CFP, PFP, CIM, FCSI and CAMS designations

Details

Code
TPRCR21002704
Date & Time
Tuesday, 14 Dec 2021 (6:30PM - 9:30PM)
Venue
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Type 6 - Advising on corporate finance
Type 7 - Providing automated trading services
Type 8 - Securities margin financing
Type 9 - Asset management
Type 10 - Providing credit rating services
Type 11 - Dealing in OTC derivative products or advising on OTC derivative products
Type 12 - Providing client clearing services for OTC derivative transactions
Regulatory Compliance
Language
Trad. Chi / Cantonese
Hours
SFC:3.00, PWMA:3.00