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Compliance

[Webinar] SFC Review of Online Brokerage Distribution and Advisory Services

概要

With technology advancement and the popularity of online/ digital platforms changing customer behaviour, the Securities and Futures Commission (“SFC”) has conducted a survey of 50 licensed corporations (“LCs”) that provided brokerage, distribution and advisory services online and reviewed the LCs’ handlings of client onboarding, types of products, services and functionalities offered to clients through online platforms, and the extent of use of social media platforms for marketing.

The SFC released the review results in August 2022 summarising key observations and compliance issues identified and setting out regulatory expectations.

內容

This webinar will highlight the some of the lessons learnt from the deficiencies and key findings identified from the review conducted by the SFC and share the expected regulatory standards and industry good practices in particular the following areas:
1. Remote client onboarding;
2. Online trading, distribution and marketing of investment products; and
3. Cybersecurity.

對象

Senior executives, MIC, Responsible Officers and staff from the licensed corporations including securities / brokerage firms and asset management firms as well as the licenced banks

導師/講者

Kenneth WONG
Kenneth Wong is a Partner with PwC’s Risk Assurance Practice in Hong Kong. He has broad range of experience working with financial institutions on regulatory reviews relating to technology risk management, e-banking, customer data protection, business contingency plans and cyber security. He currently also holds positions as the Vice President of Information Systems and Control Association (ISACA) (China Hong Kong Chapter) and Steering committee member of the Hong Kong Public Key Infrastructure (HKPKI) Forum.
鄧希婷
Hilda Tang is a Partner with PwC Financial Services Risk and Regulations Practice in Hong Kong. She has more than 12 years of experience in both Hong Kong and London firms focusing on regulatory advisory and internal control review projects for global financial institutions. She has led regulatory and management driven reviews on a broad range of subject matters including selling practice of investment products, pricing and disclosure practice, governance, risk management and licensing.
Joyce CHAN
Joyce Chan is a Director in PwC Financial Services Risk & Regulations Practice in Hong Kong. She has more than 18 years of experience working in the financial services industry and extensive knowledge in ML/TF risk management. Prior to joining PwC, she worked in the Hong Kong Monetary Authority (HKMA) for 13 years and specialised in AML/CFT supervision where she conducted AML/CFT examinations and reviews, developed AML/CFT policy and participated in a number of key initiatives.

詳情

活動編號
TSBCO22000401
日期及時間
2022年10月20日, 星期四 (4:00下午 - 5:00下午)
地點
虛擬平台
相關主題
監管合規
語言
英文
課程時數
SFC:1.00, PWMA:1.00
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