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Training

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

 

Registration: https://www.hksi.org/en/development/activities/1012764-webinar-compliance-tips-on-the-obligations-and-cooperation-under-the-fdrs/

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