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
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。
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.