Fulfilling Suitability Obligations
概要
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.
宗旨
To promote awareness and enhance understanding of suitability requirement.
內容
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
對象
Practitioners in the securities industry, and operation officers who perform checking of customer risk profiling questionnaires.
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。