Compliance, Legislative & Regulatory Standards

Compliance Induction (Global)

將被更新

概要

In the financial services industry, working and competing ethically in the marketplace means that firms must maintain the highest level of integrity in all that they do. This is vital not just to your firm, but also to the communities in which your firm operates and the global economy.

Consumers’ trust in your firm and industry is fundamental to your firm’s success, employees’ job security and the shared future of your firm and its employees. The purpose of industry oversight and regulation is to ensure the soundness of the financial services industry, protect consumers from harm and foster consumer confidence in the industry.

This course will help improve your understanding and awareness of your regulatory and ethical responsibilities in the workplace.

宗旨

At the end of this Course, you will be able to:
- Describe the purpose of regulation in the financial services industry
- Identify your main responsibilities under the regulatory regime
- Describe the importance of behaving ethically in all that you do
- List your key risk-management duties as an employee
- State when and how to escalate and report any concerns or potential conflicts

內容

- Introduction
- Guiding Principles
- Regulatory Environment
- Market Conduct
- Personal Conduct
- Confidential Information
- Financial Crime
- Gifts and Entertainment
- Conflicts of Interest
- Conclusion

詳情

活動編號
TERCR20012901
地點
網上平台
相關主題
誠信操守/合規
標籤
將被更新
語言
英文
級別
Introductory
課程時數
SFC:1.00, PWMA:1.00
費用
所有會員: HK$490
機構會員員工: HK$490
非會員: HK$700