Online distribution and advisory platforms

Financial Institutions are increasingly planning to roll out or are rolling out digital solutions to its clients. Regulatory authorities have responded with guidance on their additional expectations for online distribution and advisory platforms.

This session highlights areas which we consider to be of particular interest and considers the wider eco-system of regulation which potentially impacts the set-up of online distribution and advisory platform.

Topics will include:

• Licensing requirements for online distribution and advisory platforms
• SFC guidelines & core principles on online distribution and advisory platforms, including:
  • Platform design
  • Information for clients
  • Risk management and record keeping
• Lessons to be learned from ATS enforcement actions

> Register here

This webinar will begin at 3pm (Hong Kong)

We have applied to Hong Kong Law Society for 0.5 CPD point for this course, pending their approval. Please be reminded that viewing our webinar on-demand is not eligible for CPD points.

Registrants must use the name as stated in your practicing certificate/trainee solicitor contract to enable The Law Society of Hong Kong (HKLS) to keep your attendance record of the course.

Note: No CPD point will be given if attendees lose connection for more than 10 mins howsoever caused.