Regulatory Alerts2016-04-01
Added · Updated
Circular Issued by the Securities and Futures Commission on Distribution of Bonds Listed under Chapter 37 of the Main Board Listing Rules and Local Unlisted Private Placement Bonds
The Securities and Futures Commission issued this circular to regulate the distribution of bonds listed under Chapter 37 of the Main Board Listing Rules and local unlisted private placement bonds. It establishes specific requirements for registered institutions regarding the marketing and sale of these fixed income products. The guidance aims to ensure appropriate risk assessment and investor protection in the wealth management sector.
CIR
Current
Issue Date:
01 Apr 2016
20160401-1-EN.pdf (103.4 KB)
Topic:
Miscellaneous - SFC/IA/MPFA
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
Annex
Current
01 Apr 2016
Annex - SFC Circular
CIR
Current
09 Aug 2013
Product Risk Rating of High-Yield Bonds and Related Products
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19 Nov 2012
Selling of Fixed Income Products
Annex
Current
01 Apr 2016
Annex - SFC Circular
CIR
Current
09 Aug 2013
Product Risk Rating of High-Yield Bonds and Related Products
CIR
Archive
19 Nov 2012
Selling of Fixed Income Products
Version History
Superseded Document
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