Regulatory Alerts2012-10-24
Added · Updated
Circular Issued by the Securities and Futures Commission Regarding Report on the Thematic Inspection of Selling Practices of Licensed Corporations
The Securities and Futures Commission issued this circular to report on a thematic inspection of selling practices conducted among licensed corporations. The regulator identified specific deficiencies in how these firms market and sell investment products to clients. This document serves to highlight these operational shortcomings and implies the need for improved compliance standards within the industry.
CIR
Current
Issue Date:
24 Oct 2012
20121024-1-EN.pdf (45.8 KB)
Topic:
Miscellaneous - SFC/IA/MPFA
Wealth Management & MPF - Securities/investment products
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
Annex
Current
24 Oct 2012
Annex - SFC Circular: Circular to All Licensed Corporations SFC spots deficiencies in selling practices of licensed corporations
Annex
Current
24 Oct 2012
Annex - SFC Circular: Circular to All Licensed Corporations SFC spots deficiencies in selling practices of licensed corporations
Cross referenced Document
Version History
Superseded Document
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