Compliance, Legislative & Regulatory Standards

[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 suitability obligations?
3. Know your clients.
4. Conduct Product Diligence. 
5. Matching personal circumstances of client to product offered to clients. 
6. Help clients make informed decisions.
7. 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

Dr 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 different banks. She is now an independent consultant to various financial institutions.

Dr Lam was awarded the Doctor of Business Administration by Swiss Business School. Before that she attained Master in Finance from the City University of Hong Kong and Master in Human Resource Management and Training from the University of Leicester. Her first degree was with the University of Manchester Institute of Science and Technology.

As for professional attainment, she is an Associate of the Chartered Institute of Bankers and a Certified Banker. She also gained the CFPCM Examination Certificate and the Professional Certificate for ECF Anti-Money Laundering and Counter-Financing of Terrorism.

Administrative Details

Date & Time
Tuesday, 5 Dec 2023 (12:00 PM - 02:00 PM)
Thursday, 7 Dec 2023 (12:00 PM - 02:00 PM)
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
Type 9 - Asset management
Trad. Chi / Cantonese
SFC:4.00, PWMA:4.00