Compliance Induction (Global)

Compliance Induction (Global)

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.

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
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
請選擇語言
ENG