[Webinar] Fulfilling Suitability Obligations

[Webinar] 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.

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.

導師/講者

林慕華
林慕華女士既是一位資深銀行領導,也是經驗豐富的培訓人士。她在渣打銀行累積了多年的分行管理經驗後,轉到培訓領域。她帶領過多家銀行的培訓部門,孕育了很多傑出銀行從業員,包括香港匯豐銀行客戶經理團隊。林女士亦曾任職香港銀行學會的課程總監,現任香港城市大學兼職講師,香港證券學會講師及多間金融機構顧問。林女士畢業於英國曼撤斯特大學,之後獲取香港城市大學財務碩士學位,專業資格包括英國特許銀行學會會士、香港銀行學會會士、香港財務策劃師 CFPCM,亦已考取了打擊洗錢及恐怖分子資金籌集專業證書。現在是工商管理博士生。

詳情

活動編號
TPRCR21009003
日期及時間
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)
地點
虛擬平台
語言
Trad. Chi / 廣東話
級別
Introductory
課程時數
SFC:4.00, PWMA:4.00
請選擇語言
ENG