Cantonese (supplemented with English materials)




19:00 - 22:00


Sheung Wan

Course Fee


CPD Hour


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 :

Special Offer : Enroll 2 or more modules in one time, enjoy a 10% discount off