[Webinar] Regulatory Requirements when Selling Complex and Virtual-Assets ("VA") 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.
Note: This webinar is NOT part of the Certification Programme for Virtual Asset Professionals (CVAP) and includes no post-course assessment. CVAP participants who completed the Core Curriculum may enrol in the elective Regulatory Requirements for Selling Virtual Asset Products. See the course page for details.
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 the Compliance officers.
導師/講者
Following 8 years in the UK, he moved to Asia in 1991, working for a large international investment bank and later became the Head of Investment Advisory Group of their Private Bank in Hong Kong. He was the Head of Investment Services, Advisory and Discretionary for two boutique Swiss private banks and most recently he has worked as a consultant, lecturer and as a Responsible Officer for a Broker and Asset Management Company in Hong Kong.
Mr James obtained an Honors business degree from Wilfrid Laurier University, Waterloo Canada, and an MBA from the University of Toronto, Toronto Canada.