[Webinar] Latest Enforcement Cases Relating to Suitability Requirement
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 industry practitioners with basic understanding of the SFC Suitability Requirement.
導師/講者
林博士首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、英國萊斯特大學人力資源及培訓碩士學位, 現為瑞士商學院工商管理博士。專業資格包括英國特許銀行學會會士、香港銀行學會會士，亦考取了CFPCM 認可財務策劃師和打擊洗錢及恐怖分子資金籌集專業證書。