Sales Compliance & Product Due Diligence under New Professional Investor Regime

The core principle of Sales Compliance is about ensuring a Risk- Matching & Well- Informed Investment.

Banks and Licensed Corporations are obligated to implement an effective sales compliance program. This course is intended to discuss the regulatory background, principles and practical issues of sales compliance and to introduce the latest development of the New Professional Investor Regime, effective since March 2016.

Speakers

Speaking Opportunities

Detailed Information

Highlights of the course include:

  • Overview of the regulatory work
    • Regulatory Principles
    • Supervisory frameworks
    • New professional investors regime
  • Review of mis-selling cases
    • Mis-selling issues related to 2008 Financial Crisis
    • Recent enforcement cases
    • Sore loser vs Misled winner
  • Compliance Philosophy
    • Governance over Enforcement
    • Prevention over Deterrence
  • Professional Investors
    • Definition & Exemption
    • Individual PIs
    • Corporate PIs
    • Institutional PIs
  • Suitability Obligation
    • Factors to consider
    • Risk Scoring System
    • Client’s risk profiling
  • Product Due Diligence
    • Factors to consider
    • Disclosure and Marketing
    • Training and Communication
  • Consideration in Selling Practices
    • Execution
    • Solicitation
    • Discretion

 

Registration Conditions

To view our registration conditions click HERE.