Overview
This course provides a practical implementation guide to private bankers to enable them to comply with the selling and suitability regulatory requirements.
Content Highlight
- Overview of new suitability requirements and SFC professional investor and client agreement consultation conclusion
- Discuss the latest HKMA filed assessment onto “Investment Selling Practices” upon issues; best practices, desirable behaviour & gap analysis
- Sharing on the practical implementation of Selling & Suitability Process & Procedures
- Review of selected litigation cases relating to proper risk disclosure vs contractual exclusion of liability
Who Should Attend
This course is most suitable to those in-service practitioners who are working in the private banking sector.
Instructor / Speaker
MA Wai Kwok Alvin
Mr Ma has been involved in the wealth management & investment banking field for over 35 years. He received his Master of Science in Accounting and Finance from the Oklahoma State University, U.S.A. Alvin was Head of Private Banking of a global private bank responsible for HK, Macau & PRC wealth management business development and marketing. He also has held various senior positions in major international and mainland Chinese banks prior to the current role.
Alvin has extensive training experience and is one of the Certified Private Wealth Professional (CPWP) Module 1 trainer.
Alvin has extensive training experience and is one of the Certified Private Wealth Professional (CPWP) Module 1 trainer.
Administrative Details
Code
TPRCR18005403
Date & Time
Wednesday, 12 Sep 2018 (06:30 PM - 09:30 PM)
Venue
HKSI Institute Training Centre
Language
Cantonese
Hours
SFC:3.0, PWMA:3.0
Fees