Regulatory Alerts2010-06-18
Added · Updated
Circular Issued by the Securities and Futures Commission Regarding Mystery Shopping Programme
The Hong Kong Monetary Authority issued this circular to alert registered institutions to a joint mystery shopping programme introduced by the HKMA and the Securities and Futures Commission. The initiative aims to assess the selling practices of intermediaries, specifically targeting institutions that sell unlisted securities, futures products, or structured deposits to Hong Kong investors. Registered institutions are required to read the attached circular and ensure that relevant staff are informed of its contents.
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