Regulatory Alerts2009-01-02
Added · Updated
Circular Issued by the Securities and Futures Commission on the Revised Advertising Guidelines Relating to SFC-authorised Collective Investment Schemes
The Securities and Futures Commission issued a circular on 30 December 2008 outlining the phased implementation of revised advertising guidelines for authorized collective investment schemes. Registered institutions are urged to ensure that all staff involved in sales, marketing, and internal controls are fully aware of these changes and maintain clear communication with CIS issuers. Intermediaries must conduct proper product due diligence and ensure sales staff thoroughly understand product risks rather than relying solely on marketing materials.
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