In this Zoom training, the following topics will be covered:
- How to ensure regulatory compliance in relation to cross-border business activities while adhering to the legal and regulatory requirements of Hong Kong.
- How to comply with SFC account opening requirements when onboarding clients non-face-to-face.
- How to stay compliant when receiving commissions from brokers, product issuers, and other third parties.
- How to avoid conflicts of interests under different scenarios such as carrying multiple licenses, personal dealing, asset allocation, etc.
This is particularly relevant to any SFC licensed corporations planning to offer External Asset Managers services to their clients or to those who want to explore any alternatives on clients onboarding.
Once payment is made and completed online, you will be immediately provided with the Zoom Video Link information for you to watch that 70 minutes long training Zoom Video.
Please note Our Important Disclosure About Limitation of Sample Documents and Your limited rights for your own use only for this purchase.
https://complianceplus.myshopify.com/pages/important-disclosure-about-limitation-of-sample-documents