HKIB
Certified Private Wealth Professionals (CPWP) Module 2 – Ethics and Compliance: Ethics and Practical Application of Legal and Regulatory Requirements for Private Banking
01Mar2019
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.
Ethics and Practical Application of Legal and Regulatory Requirements for Private Banking
• Ethical Standards set by Private Wealth Management Association
• General principles
• Risk management and client complaints
• Fiduciary Duties and Ethical Values
• Understand issues which appear to compromise professional, legal or ethical standards including any perceptions thereof
• Duties and obligations of licensed and registered persons and directors: Keep up-to-date & comply with policies and procedures
• Professional Conduct for Private Banking
• Put professional interests ahead of personal agenda, avoid and manage conflicts of interest
• Protect confidentiality of customer data
• Practical Application of Legal and Regulatory Requirements in private wealth management context • Misappropriation of customer assets
• System and control, Know Your Client (KYC)
• Other types of misconduct
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
