Since the 2008 Global Financial Crisis, handling complaints by banking or broking clients who lost money from investments has become a focus of financial regulators, and Courts have also dealt with a number of cases brought by such clients. This seminar will give practical, legal and regulatory perspectives on issues related to dealings with banking/broking clients who make investments through their accounts, by reference to different stages of client relationships.


Detailed Information

Highlights of the course include:

  • Pre-account opening
  • Account opening and client profiling
  • Selling of investment products and related credit lines to clients
  • Taking of orders and instructions from clients
  • Updating clients on their investment accounts’ positions
  • Dealing with margin calls
  • Client complaints, regulatory investigations and litigation


Registration Conditions

To view our registration conditions click HERE.