Course curriculum

    1. Suitability - Video

    2. Suitability Q&A

    3. Course Feedback

About this course

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

Summary

A discussion around the suitability requirements applicable to companies licensed under the Securities and Futures Commission (SFC), covering topics such as the profiling of clients, suitability procedures, monitoring, disclosures, record-keeping.

  • The SFC’s rules, guidelines, and expectations relating to suitability.

  • How a Licensed Corporation can incorporate suitability procedures into its regulated activities.

  • The various disclosure requirements relating to products, risks, and commission arrangements.

  • The importance of maintaining internal control systems for ongoing monitoring of suitability.

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