Circular to Licensed Corporations - Seminars on Implementation of Regulatory Requirements for Online and Offline Sales of Complex Products

2 Apr 2019



The SFC will host three seminars to facilitate the industry to gain a better understanding of how to implement the regulatory requirements for online1 and offline2 sales of complex products.  The seminars will be held on 18 April, 2 and 14 May 2019 respectively at the SFC’s office at 35/F, Cheung Kong Center, 2 Queen’s Road Central.

Who should attend

You are invited to nominate relevant management/ supervisory personnel or compliance officers to attend. The seminars are free of charge and one CPT hour will be offered to those who attend the whole session.

Enrolment

Each firm should only submit one enrolment form.  Please complete and return the attached enrolment form (Appendix) on or before 10 April 2019 by email to complexproduct_seminar@sfc.hk or fax to 2284 4660.

Enrolments are subject to a maximum of 2 places per firm.  As seats are limited, we will attempt to allocate seats to all nominees listed as first priority in the enrolment forms submitted to the SFC by the deadline.  Any remaining seats will be allocated to the other nominees and if possible, according to the date of their preference on a first come first served basis.

The SFC will send the confirmation slip by email or fax directly to successful applicants at least two days before the seminar.  Please present your confirmation slip for admission at the venue.

If you have any queries, please contact Ms Pauline Chan at 2231 1952.

Intermediaries Supervision Department
Intermediaries Division
Securities and Futures Commission

Enclosure

End

SFO/IS/016/2019


1 Chapter 6 of the Guidelines on Online Distribution and Advisory Platforms

2 Paragraph 5.5 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission


Click here to download the document

Supplementary document:
Appendix (Word format)
Appendix (PDF format)


Page last updated : 2 Apr 2019