Regulatory Alerts2010-06-18
Added · Updated
Circular Issued by the Securities and Futures Commission Regarding Mystery Shopping Programme
The Securities and Futures Commission issued this circular to outline the implementation of its Mystery Shopping Programme. The initiative aims to assess the conduct of registered institutions in providing wealth management services to retail investors. This measure supports the regulator's broader consumer protection objectives by ensuring high standards of service and compliance.
CIR
Current
Issue Date:
18 Jun 2010
20100618-1-EN.pdf (1.0 MB)
Topic:
Banking Conduct & Enforcement - Consumer Protection
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Superseded Document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
18 Jun 2010
Annex - SFC Circular
Annex
Current
18 Jun 2010
Annex - SFC Circular
Cross referenced Document
Version History
Superseded Document
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