Regulatory Alerts2009-06-23
Added · Updated
Circular Issued by the Securities and Futures Commission Regarding Risk-disclosure Duties of CLN Issuers
The Securities and Futures Commission issued a circular reminding credit-linked note issuers of their duty to disclose meaningful and timely risk information to investors. Registered institutions are required to promptly forward these notices to investors and take appropriate steps to assist their understanding, such as providing dedicated enquiry hotlines and briefing staff. The Hong Kong Monetary Authority will monitor compliance by inspecting registers maintained by registered institutions regarding the receipt and distribution of these notices.
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