Regulatory Alerts2009-02-26
Added · Updated
Circular Issued by the Securities and Futures Commission Regarding Self-Examination of Controls and Procedures on Suitability Obligations
The Securities and Futures Commission issued this circular on 26 February 2009 to direct registered institutions to conduct self-examinations of their controls and procedures regarding suitability obligations. The document outlines the specific requirements for these internal reviews to ensure compliance with regulatory standards for wealth management and investment products. It serves as a directive for registered institutions to verify that their operational frameworks adequately address client suitability assessments.
CIR
Current
Issue Date:
26 Feb 2009
20090226-1-EN.pdf (326.1 KB)
Topic:
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Superseded Document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
26 Feb 2009
Annex 1 - SFC circular
Annex
Current
26 Feb 2009
Annex 2 - List of RIs that the HKMA intends to invite participation in the 2009 CSA process
Annex
Current
26 Feb 2009
Annex 1 - SFC circular
Annex
Current
26 Feb 2009
Annex 2 - List of RIs that the HKMA intends to invite participation in the 2009 CSA process
Cross referenced Document
Version History
Superseded Document
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