Regulatory Concerns about Conflicts of Interests from Ethics Perspectives

HK$400

As part of the training of our new Ethics Series, this course will explain the regulatory concerns about conflicts of interests that may arise from areas below:

  • Suitability Obligations 
  • Selling of financial products and managing discretionary portfolios for clients 
  • Conducting personal trading
  • Receipts of Rebates and Commission 


This training can enhance awareness of the SFC licensed persons in handling and identifying potential and actual conflicts of interests situations that they may face when carrying out their regulated activities. 

To complete the training, you are required to answer 5 questions in the Assessment Test at the end of the training and have 3 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 [email protected]. Thank you.

Course curriculum

  • 1
    Regulatory Concerns about Conflicts of Interests from Ethics Perspectives
    • Step 1: Watch the Training Video
    • Step 2: Take Online Assessment (Passing Grade: 60%)(Answered 3 questions correctly out of 5 questions)
    • Step 3: Download your certificate