Compliance, Legislative & Regulatory Standards

[Webinar] 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.

Financial Incentive Scheme of the WAM Pilot Programme

This is one of the eligible courses / seminars under the Financial Incentive Scheme (“The Scheme”) of the WAM Pilot Programme.

Eligible in-service practitioners of the financial services industry could apply for a reimbursement up to 80% of the course / seminar fees, or a maximum of HK$10,000 per person throughout the period of 1 October 2016 to 31 March 2023 upon satisfactory completion.

Each individual may apply for reimbursement for more than one course / seminar subject to a maximum of HK$10,000 but each course / seminar can only be reimbursed once.

The duly signed application form together with the FIVE supporting documents must be submitted within FOUR months from the last day of the course / seminar attended. Please refer to the WAM Pilot Programme website for more details.

WAM Pilot Programme Special Requirements

If you plan to apply for reimbursement under the Financial Incentive Scheme (FIS), please ensure your device/computer has the camera feature or with webcam installed as you are required to turn on your camera throughout the webinar.


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2021年6月7日, 星期一 (12:00下午 - 2:00下午)
2021年6月8日, 星期二 (12:00下午 - 2:00下午)
第4類 - 就證券提供意見
第5類 - 就期貨合約提供意見
第6類 - 就機構融資提供意見
第9類 - 提供資產管理
Trad. Chi / 廣東話
SFC:4.00, PWMA:4.00