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Code of Conduct for Licensees III

How to deal with Client assets

  • 1 h
  • 600 Hong Kong dollars
  • Online

Service Description

Content: Client assets, Compliance, Rebates, soft dollars, and connected transactions, Responsibility of senior management (CPT Points: 2) 持牌人操守準則 (2020 年 9 月 第 26 版) 分析 III 內容: 如何處理客戶資產、合規監督與報備 回佣、非金錢利益及關連交易 高級管理層的責任

Contact Details

+852 2110 1013

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