語言

Cantonese (supplemented with English materials)

公司

HKIB

時間

19:00 - 21:00

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.

Relevant Laws and Regulations relating to Client Engagement and Relationship Building
• Core Compliance Knowledge for Private Wealth Management
• Anti-money laundering (AML) and counter-terrorist financing (CTF) laws and regulations
• Personal Data (Privacy) Ordinance, Cap 486
• Laws and Regulations relating to Client Engagement and Relationship Building
• Looking for potential customers
• Understanding restrictions on “suitcase banking” and related risks
• On-boarding a customer
• Managing the customer relationship
• When things go wrong
• Complaint handling
• Regulatory investigations
• Powers of SFC and HKMA

 

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