Regulatory Alerts2010-09-02
Added · Updated
Circular Issued by the Securities and Futures Commission Regarding Code of Conduct Requirements with respect to Derivative Products
The Hong Kong Monetary Authority issued this circular to draw the attention of all Registered Institutions to a related directive from the Securities and Futures Commission. The Securities and Futures Commission requires intermediaries to ensure compliance with its Code of Conduct when providing services on derivative products, specifically highlighting new investor characterization obligations. Registered Institutions are reminded to implement appropriate measures so that their staff understand product risks and features to properly serve clients.
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