Regulatory Alerts2014-03-25
Added · Updated
Circular Issued by the Securities and Futures Commission on Selling of Complex Bonds and High-Yield Bonds
The Hong Kong Monetary Authority transmits a Securities and Futures Commission circular highlighting common issues identified during recent on-site inspections of licensed corporations selling complex and high-yield bonds. Registered Institutions are required to review and enhance their internal policies, procedures, and controls to address the specific regulatory concerns outlined in the circular's appendix. The HKMA will continue to monitor these institutions' compliance with regulatory requirements through its ongoing supervisory processes.
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