Regulatory Alerts2020-05-18
Added · Updated
Concurrent SFC-HKMA thematic review of spread charges and other practices
The Securities and Futures Commission and the Hong Kong Monetary Authority jointly issued this circular to outline a thematic review of spread charges and related practices. The regulatory bodies are examining how registered institutions handle fees and charges to ensure transparency and compliance with conduct standards. This initiative aims to protect investors by identifying and addressing potential issues in wealth management and MPF product distributions.
CIR
Current
Issue Date:
18 May 2020
20200518-1-EN.pdf (157.5 KB)
Topic:
Miscellaneous - SFC/IA/MPFA
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
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Directly related Document
Directly related Document
Cross referenced Document
Version History
Superseded Document
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