Regulatory Alerts2022-03-01
Added · Updated
Concurrent SFC-HKMA Thematic Review of Non-Exchange Traded Investment Product Distribution
The Securities and Futures Commission and the Hong Kong Monetary Authority announced a concurrent thematic review targeting intermediaries distributing non-exchange traded investment products. This joint supervision focuses on assessing compliance with suitability requirements, including product due diligence and client information practices, for popular items such as equity-linked structured products and corporate bonds. The regulators will share the review findings with the industry and consider issuing further guidance where necessary.
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