Compliance, Legislative & Regulatory Standards

Implementing Suitability Controls and Procedures


This course will discuss the implementation of key controls and procedures for assessing product suitability for clients under the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (the “Code”). It will also touch on issues relating to the implementation of the requirements applicable to complex products under the Code.


This course is designed to promote awareness and enhance understanding of the suitability obligations under the Code.


1. KYC and client risk profiling
2. Product due diligence
3. Suitability assessment process
- Pre-trade checks
- Order taking
- Post trade checks and record-keeping
4. Suitability obligations when providing services in complex products irrespective of whether a solicitation or recommendation is made


Managers-In-Charge, responsible officers, compliance officers and other senior personnel of licensed firms who are involved in designing the suitability assessment framework and procedures

先導計劃 - 專業培訓資助計劃

本課程乃提升資產財富管理業人才培訓先導計劃 - 專業培訓資助計劃所涵蓋之合資格課程/ 研討會 /會議。

合資格之金融服務業現職從業員只要圓滿修畢本計劃所涵蓋課程 / 研討會 /會議 的一個單元,便可於本計劃的三年期內申請發還80%學費或上限7,000元(以數額較少者為準)。

申請人可申請多於一個課程 / 研討會 /會議的資助。

申請表必須於完成課程 / 研討會 /會議 當日起計4個月內連同所需文件一併送交香港證券及投資學會。詳情請參考先導計劃網站


Ms Chow (known as “YY”) is the Founder and Chairperson of CP Solutions Limited (“CPSL”), a compliance consultancy firm. YY has approximately 28 years of Hong Kong and Asia Pacific regulatory compliance experience in a wide range of areas and products. Before establishing her own firm in January 2019, YY worked for a major Mainland-headquartered group of companies in Hong Kong as Head of Compliance and later as an Advisory Director for a total of 8.5 years. Prior to that, she worked for the Securities and Futures Commission of Hong Kong (the “SFC”) and major international financial institutions.

YY is an English Chartered Accountant (qualified with a Big Four in the UK), a Fellow of the Hong Kong Institute of Certified Public Accountants and a Senior Fellow of the HKSI. YY received her BA in Accountancy, Finance and Economics (First Class Honours) from the University of Essex (UK) and her MSc in Economics from the London School of Economics and Political Science. Through part-time study, she gained her LLB from the University of London.

YY is currently a member of the Mandatory Provident Fund Schemes Advisory Committee. She is a former member of the Process Review Panel for the SFC, the SFC’s Academic and Accreditation Advisory Committee and the HKSI’s Examinations Committee and Membership Committee. She had been a board director of the Hong Kong Securities Association for 17 years.


2019年5月17日, 星期五 (12:15下午 - 1:45下午)
第1類 - 證券交易
第2類 - 期貨合約交易
第9類 - 提供資產管理
第4類 - 就證券提供意見
第5類 - 就期貨合約提供意見
SFC:1.50, PWMA:1.50