Regulatory Alerts2026-09-09
Added
Circular on Private Market Investments
The Hong Kong Monetary Authority (HKMA) provides guidance to Registered Institutions (RIs) on the sale and distribution of private market investments. RIs are reminded to conduct proper product due diligence, assign appropriate product risk ratings, and provide clients with sufficient, fair, and non-misleading information on associated risks, such as limited liquidity, transparency, and valuation uncertainty. RIs must ensure that recommendations or solicitations are suitable for clients, comply with Securities and Futures Commission (SFC) requirements for derivative and complex products, and exercise particular care in suitability assessments. Existing exemptions for Institutional Professional Investors and Qualified Corporate Professional Investors continue to apply, and RIs must implement adequate policies, procedures, controls, monitoring, and staff training.
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