Fulfilling Suitability Obligations
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.
To promote awareness and enhance understanding of suitability requirement.
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
Practitioners in the securities industry, and operation officers who perform checking of customer risk profiling questionnaires.
Ms Lam obtained her Master in Human Resource Management and Training from the University of Leicester and Master in Finance from the City University of Hong Kong. She is a Certified Financial PlannerCM, Associate of the Hong Kong Institute of Bankers and Associate of the Chartered Institute of Bankers. She obtained Advanced Certificate for ECF Anti-Money Laundering and Counter-Financing of Terrorism in 2018.