Course curriculum

    1. Client Agreements Video

    2. Clients Agreements Q&A

    3. Course Feedback

About this course

  • $175.00
  • 3 lessons
  • 0.5 hours of video content

Summary

A discussion of the regulatory requirements applicable to companies licensed under the Securities and Futures Commission (SFC) in respect of client agreements. A review of the specific requirements for different types of regulated businesses (advisory, discretionary, margin financing, leveraged foreign exchange), minimum content obligations, and general requirements such as using comprehensible language and ensuring clients understand the terms and conditions.

  • The regulatory framework governing client agreements.

  • The requirements relating to the minimum content that must be included within client agreements.

  • The additional content requirements within client agreements that relate to certain types of businesses.

Design: Melody Wang, Dona Samaranayake
Content: Stanley Nnam, Alex Esson