Training
CPD event : Compliance Tips on the Obligations and Cooperation under the FDRS Webinar - HKSI
Compliance is one of the guiding principles of the conduct of persons licensed by or registered with the Securities and Futures Commission. Under paras 12A, 12.3, and 12.6 of the Code of Conduct, such persons (except those carrying on Type 10 regulated activities only) are obliged to follow, and co-operate in, the mediation and arbitration processes administered by the Financial Dispute Resolution Centre (the FDRC). This course explains clients’ right to refer monetary disputes to the FDRC, the scope of its services, compliance requirements, and consequences of breach.
Date: 25 January 2024
Time: 12:20pm - 1:20pm
Language: English
Speaker: Anna K. C. Koo
Hours: SFC - 1.00 ; PWMA - 1.00
Fees:
All Member - HK$280
Staff of Corporate Member - HK$280
Non-Member- HK$560
Content:
- Purpose and membership of the Financial Dispute Resolution Scheme (the FDRS)
- Scope of service, service flow, and fees of the FDRS
- Compliance requirements on the part of licensed or regulated person
- Consequences of non-compliance
