2012-10-24

Added 2026-06-21 · Updated 2026-08-16

Circular Issued by the Securities and Futures Commission Regarding Report on the Thematic Inspection of Selling Practices of Licensed Corporations

The Hong Kong Monetary Authority issued a circular to authorized institutions drawing attention to the Securities and Futures Commission's report on the thematic inspection of selling practices. The report summarizes issues identified during the inspection of certain licensed corporations and outlines recommended good practices and internal controls. The HKMA stated it will continue to monitor authorized institutions' compliance with regulatory requirements through its ongoing supervisory process.

Hong Kong

Hong Kong Monetary Authority

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