[Webinar] Fulfilling Suitability Obligations


This course will discuss the suitability requirement applicable to the sales of investment products under the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission.


To promote awareness and enhance understanding of suitability requirement.

Content Highlight

1. Classification of investment products — non-complex or complex product.
2. What is product suitability?
3. Conducting customer risk profiling.
4. Matching customer risk profiling to products offered to clients.
5. Documents and disclosure to clients.
6. Guideline on Online Distribution and Advisory Platforms

Who Should Attend

Practitioners in the securities industry, and operation officers who perform checking of customer risk profiling questionnaires.

Instructor / Speaker

Stella LAM

Ms Lam is both an experienced banker, and a seasoned trainer. Having gained a decade of experience in consumer banking and branch management at an international leading bank, she made a shift to the learning and development field - she was a university teaching staff, and she led the personal banking training department in various banks.

Ms Lam obtained her Master in Human Resource Management and Training from the University of Leicester and Master in Finance from the City University of Hong Kong. She is a Certified Financial PlannerCM, an Associate of the Chartered Institute of Bankers and a Certified Banker. She obtained Professional Certificate for ECF Anti-Money Laundering and Counter-Financing of Terrorism in 2020.

Administrative Details

Date & Time
Monday, 7 Jun 2021 (12:00 PM - 02:00 PM)
Tuesday, 8 Jun 2021 (12:00 PM - 02:00 PM)
Virtual Platform
Trad. Chi / Cantonese
SFC:4.00, PWMA:4.00