_logo_1618977560081.jpg "Institute of Professional Education And Knowledge (PEAK)"){kind=logo}
Course Information
Schedules
- 22 Oct 2026 (Thu) 9:30 AM - 12:30 PM
Registration period
15 Sep 2026 (Tue) - 21 Oct 2026 (Wed)
Price
HKD 330
Course Level
Study Mode
Duration
3 Hour(s)
Language
Cantonese
Location
香港灣仔活道27號職業訓練局大樓9字樓
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Course Overview
金融產品中介人實務須知單元一：銷售金融產品的合規要求（ 重點重温及最新修訂）I
授課語言
除一些指定以英語授課的課程外,所有課程均以廣東話授課,部份輔以英文專業用語
持續專業進修(CPD)/持續培訓(CPT)時數
IA CPD Hours: 3 (Ethic or Regulations)
MPFA Non-core CPD Hours: 3
SFC CPT Hours: 3
HKMA ECF CPD Hours 3
(此課程目標只提供英文版)
Programme Contents
• Securities and Futures Commission - Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
• General principles
• Honesty and fairness
• Diligence
• Capabilities
• Information about clients
• Information for clients
• Conflicts of interest
• Client’s assets
• Compliance
• Responsibility of senior management
What You’ll Learn
金融產品中介人實務須知單元一：銷售金融產品的合規要求（ 重點重温及最新修訂）I
(此課程目標只提供英文版)
Programme Contents
• Securities and Futures Commission - Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
• General principles
• Honesty and fairness
• Diligence
• Capabilities
• Information about clients
• Information for clients
• Conflicts of interest
• Client’s assets
• Compliance
• Responsibility of senior management
