Regulatory Alerts2012-12-20
Added · Updated
Applicability of SFC Regulatory Requirements to Sale of Non-SFO Regulated Structured Products
The Securities and Futures Commission issued this circular to clarify the applicability of its regulatory requirements to the sale of structured products that are not regulated under the Securities and Futures Ordinance. The guidance specifically targets all Authorized Institutions, ensuring they adhere to appropriate standards when distributing these specific investment products. This directive serves as a regulatory update to the previous 2009 circulars regarding the selling of investment products.
CIR
Current
Issue Date:
20 Dec 2012
20121220-1-EN.pdf (56.9 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Superseded Document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
Archive
13 Jul 2009
Selling of Investment Products
Directly related Document
CIR
Archive
13 Jul 2009
Selling of Investment Products
Version History
Superseded Document
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