Compliance Training on How to Avoid Product Mis-selling (0.5 Hour) (English version)

HK$400

This online training provides an overview of the SFC regulatory regime on the suitability requirement and mis-selling. By walking through the relevant codes and regulations along the client pitching, due diligence and account opening processes, together with a discussion on the recent enforcement and court cases on mis-selling practices, this training offers an insight of the required and best practices in ensuring that suitable services are provided to your clients under the current regulatory environment. 


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 info@complianceplus.hk. Thank you.

Course curriculum

  • 1
    13. Compliance Training on How to Avoid Product Mis-selling
    • Step 1: Watch the Training Video
    • Step 2: Take Online Assessment (Passing Grade: 60%)(Answer 3 questions correctly out of 5 questions)
    • Step 3: Download your certificate