Regulatory Alerts2012-12-20
Added · Updated
Applicability of Enhanced Measures to Sale of Investment Products to Corporate Customers
The Hong Kong Monetary Authority issued this circular to extend enhanced investor protection measures to the sale of investment products to corporate customers. This directive updates previous guidelines that previously applied these safeguards primarily to private banking customers. It mandates that authorized institutions implement stricter controls and due diligence procedures when distributing investment products to corporate clients.
CIR
Current
Issue Date:
20 Dec 2012
20121220-2-EN.pdf (54.3 KB)
Topic:
Wealth Management & MPF - Securities/investment products
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
20 Jan 2012
Applicability of Enhanced Measures to Sales of Investment Products to Private Banking Customers
CIR
Archive
25 Mar 2009
Implementation of recommendations in the HKMA's Report on Issues Concerning the Distribution of Structured Products Connected to Lehman Brothers ("the HKMA's Report")
Directly related Document
CIR
Current
20 Jan 2012
Applicability of Enhanced Measures to Sales of Investment Products to Private Banking Customers
CIR
Archive
25 Mar 2009
Implementation of recommendations in the HKMA's Report on Issues Concerning the Distribution of Structured Products Connected to Lehman Brothers ("the HKMA's Report")
Version History
Superseded Document
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