HKIB
Certified Private Wealth Professionals (CPWP) Module 2 – Ethics and Compliance: Regulatory Regime in Hong Kong and Requirements on Sale of Investment Products (HD000000P190212)
15Feb2019
語言
Cantonese (supplemented with English Materials)
公司
HKIB
時間
19:00 - 22:00
地點
上環
課程費用
750
CPD 時數
3
By the end of programme, the participant will be able to:
• Demonstrate an adequate understanding and practical application of legal and regulatory requirements, and ethics relevant for practitioners
• Demonstrate a broad-based view of risk governance, risk culture and risk management, and an understanding of the wider implications and long-term impact of own actions on various stakeholders.
Regulatory Regime in Hong Kong and Requirements on Sale of Investment Products
• Legal and Regulatory Regime in Hong Kong
• The Banking Ordinance overview
• Key regulatory requirements applicable to property lending
• Key Provisions relevant to Private Wealth Management
• Securities and Futures Ordinance (SFO), Deposit Protection Scheme (DPS)
• Regulatory Requirements on Sale of Investment Products
• Sale of investment products: general matters
• Regulatory requirements relevant to the sale of investment products
• Professional investor regime
• Application of the suitability obligation to the sale of specific types of investment products
• Internal controls
Date : 4 Programmes - 15 Feb 2019, 22 Feb 2019, 01 March 2019, 08 March 2019
CPD Credit Hour : 3.00 Hours (Per Programme)
Fee : HK $750 per module
More Info : http://bit.ly/2DKPkjT
Special Offer : Enroll 2 or more modules in one time, enjoy a 10% discount off
