Account Opening, Client Agreement and Professional Investors
Access practical content at a time and place that suits you — whether it’s at home, at office or as you commute. Our 45–60 minute webinars are the ideal way to meet your professional development needs at your convenience.
If you want to,
i. Understand the procedures and requirements of account opening for securities / Futures trading;
ii. Acknowledge the importance of complying with regulations and the outcomes of not complying with rules and regulations;
iii. Differentiate professional investors from retail investors: why does SFC need to differentiate them
If one of these rings your bell, come and join our GCC Governance Day Webinar!
In this webinar, you’ll learn:
• Identify the advantages and disadvantages of different forms of account opening
• Understand how to protect your own rights when opening an investment account
• Avoid breaking the rules and regulations of these related topics
We will also use some case studies as example to discuss how you can protect your own rights as either an investor or a practitioner.
Who Should Attend?
If you are existing responsible officers, licensed representatives and need to refresh on your skills and responsibilities, or new financial / AML participants want to learn more your responsibilities. The series is also of value to senior managers and staff dealing with compliance and AML issues.