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CPD Event: Overview of Complex Investment Products and Selling Guidelines under HKMA and SFC Regulations (2016)

About this CPD Event:
After the completion, participants will be able to acquire core knowledge of complex investment products as well as their respective selling procedures as required by regulatory bodies.

i.              Accumulators (in particular the CNY related products)

·                         Building Blocks of Structured Products

·                         Knock-Out Equity/Currency Linked Note (ELN/CLN)

·                         What Comprises an Accumulator?

·                         Contract Specifications of an Accumulator

·                         Areas of Financial Disputes with Bank Customers

ii.             Banks / Securities Policy of Close Out Shares and FX of Customers’ Margin Positions, the Practical Procedures and Operations

·                         Introduction of Trading Cycle for Shares and FX

·                         Functions of a Dealing Room / Treasury Management of Banks / Securities

·                         Risk Management and Control of Banks / Securities 

·                         Practical Procedures and Operations

iii.            The HKMA and SFC regulation in (i) and (ii) above

·                         Regulatory Requirements imposed by the HKMA and the SFC

·                         Complex Investments Product Due Diligence

·                         Investment Sales, Advisory Process and Disclosures to Customers

·                         Professional Investors and Private Banking Customers

CPD points:
FDRC: 2.5 points

- Dr. Raymond Lee

Dr. Raymond Lee has over 10 years’ experience in conducting training courses and seminar for various banks and financial institutions in the areas related to financial market including financial planning, investment management. Foreign exchange, etc. He also focus on wealth management business for high-net-worth customers, including asset portfolio design via private banks’ product platform such as structured products. Meanwhile, he is the senior consultant of the Hong Kong Institute of Bankers.

Date and time: 06:00pm – 08:30pm, 5 September, 2016

Venue: 3/F Guangdong Investment Tower,

148 Connaught Road Central.

(Sheung Wan MTR Station Exit C)

Language: Cantonese (supplemented with English materials)

Fee: HK$250 for FDRC Mediators and FDRC Arbitrators

         HK$350 for other participants

Registration method:

Fill in the registration form and send by email at fdrc@fdrc.org.hk on or before 22 August 2016.
Seats will be offered on a ‘first-come-first-served’ basis.
Confirmation will be sent by email on or before 29 August 2016.

Payment Method:
(1)          Crossed cheque: payable to “Financial Dispute Resolution Centre ” and post to FDRC, Unit 3701-04, 37/F, Sunlight Tower, 248 Queen’s Road East, Wan Chai, Hong Kong; or

(2)          Bank transfer:

Bank Name: The Hongkong and Shanghai Banking Corporation Ltd

A/C Name: Financial Dispute Resolution Centre

A/C No.: (004)-848-218731-838

The bank transfer record shall be sent to the FDRC by email together with the registration form.


Ms. Fanny Cheung 3199 5133

Ms. Melody Leung 3199 5166 or


(5 September 2016)

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