概要

According to the findings of the SFC-HKMA’s joint survey released on 7 October 2021, a total of 308 licensed corporations and registered institutions reported selling Non-exchange Traded Investment Products. During 2020, the aggregate transaction amount is HK$5,700 billion, with the participation of over 700,000 investors. It is vital that intermediaries are conversant with the latest Suitability Requirements.

The course will share the enforcement cases relating to Suitability Requirement identified by the SFC and the lessons learnt.

宗旨

At the end of seminar, participants should be able to describe the best practices of the SFC’s Suitability Requirement.

內容

1. All licensed and registered persons’ suitability obligations
2. Triggering of Suitability Obligations
3. Suitability Requirement process
4. Latest SFC enforcement cases relating to Suitability Requirement focusing on errors in:
- Conducting client risk profiling
- Products due diligence
- Matching of products
- Documentation and disclosure
- Record keeping
- Others
5. Lessons learnt

對象

Target participants are industrial practitioners with basic understanding of the SFC Suitability Requirement.