[Webinar] Regulatory Requirements when Selling Complex and Virtual-Assets Related Products
概要
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.
宗旨
By the end of the course, the participants will be refreshed on the regulatory requirements in selling complex and VA-related products.
內容
- 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
對象
The course is targeted to licensed representatives who need to advise clients on securities and futures and compliance officers.
資產財富管理業先導計劃 - 專業培訓資助計劃
本課程已被審批為「提升資產財富管理業人才培訓先導計劃」（以下簡稱「資產財富管理業先導計劃」 其下之「專業培訓資助計劃」（以下簡稱「本計劃」）。本計劃旨在提升資產財富管理業在職從業員的專業能力水準及協助金融服務業內其他從業員學習所需的知識和技能，使他們能投身資產財富管理業。合資格之申請人按香港證券及投資學會之要求完成課程後將可獲香港特區政府資助80%學費，上限為HK$15,000。 香港證券及投資學會為資產財富管理業先導計劃之執行機構，有關申請要求之細則及手續，請參閱專為資產財富管理業先導計劃而設之網站(https://www.wamtalent.org.hk/)。
導師/講者
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.