[Webinar] Regulatory Requirements when Selling Complex and Virtual-Assets Related Products
The HKMA and SFC have jointly published guidelines and circulars on what is expect of institutions when selling Complex Products and VA-related products.
This one-hour course covers what these products are, and the relevant requirements as prescribed by the SFC.
By the end of the course, the participants will be refreshed on the regulatory requirements in selling complex and VA-related products.
- What are Complex Products?
- Client Suitability and Products Due Diligence
- Investor Characteristics requirements
- Risks and Selling Considerations with Complex Products
- SFC Requirements for Selling Complex Products
- SFC Requirements for Selling VA-related Products
The course is targeted to licensed representatives who need to advise clients on securities and futures and the Compliance officers.
He has worked in Toronto, London and since 2001, in Hong Kong. He began his career in investment banking and later held positions as the head of investment advisory and discretionary investment services for Swiss private banks based in Asia.
Mr. James is currently a Responsible Officer for an Asset Management Company in Hong Kong, while in his spare time he operates an independent consulting firm conducting training and seminars on compliance, investments and wealth management topics.
Mr. James holds an MBA from the University of Toronto and is the author of “Interest Rate Derivatives: A Practical Guide to Applications, Pricing and Modelling” published by Riskbooks in 2006.