Compliance Points to note for Marketing Materials

Marketing for financial products, collective investment schemes and SFC licensed firms have been very competitive that can easily give rise to concerns and issues from preparing and the use of marketing materials. 

This presentation video will be divided into 6 different parts as below:

1. Understanding of various types of marketing materials

2. Regulatory expectation on Marketing Materials

3. Major SFC Regulations on Marketing Materials for Collective Investment Schemes

4. Common issues on Marketing Materials for Collective Investment Scheme

5. Consequences on Non-compliance

6. Actions to take to address compliance issues or concerns that may arise from Marketing Materials

To complete the training, you are required to answer 10 questions in the Assessment Test at the end of the training and have 6 questions answered correctly.  Prior to taking the Assessment Test, you must watch the entire training video. Failure to do so may lead to cancellation of your Certificate of Completion.

**Please note that you are required to create an account with Thinkific, our Learning Management platform. Your Certificate of Completion will be issued using the name used to create the account. Therefore, please ensure that your official name is used when creating the account on Thinkific.**

For any queries, please email us at info@complianceplus.hk. Thank you.