*FULL* Client KYC & Suitability – An Update and Review

In March 2016, a number of important developments relating to the framework for professional investors in Hong Kong became effective. Intermediaries now need to comply with additional regulatory requirements with respect to professional investors.

In addition, the SFC proposed new client agreement requirements under the Code of Conduct. These proposed changes could have implications on the contractual relationship vis-à-vis an intermediary and its clients. There is a transitional period until 9 June 2017 when the changes will become fully effective but intermediaries are expected to already start the process to comply.

This course will provide an overview of the relevant updates to the Professional Investor regime and the new client agreement requirements, as well as the practical implications of the changes for financial institutions and companies.

*Due to popular demand, this course is now FULL. To request re-run, please click on the “request re-run” box on the right. 

Detailed Information

Highlights of the course include:

  • Overview of client KYC and suitability requirements in financial products
  • Practical considerations and a review 6 months on, under the new PI framework
  • New SFC Code of Conduct requirements on client agreements
  • Review of case laws and regulatory trend


Registraion Conditions

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