Regulatory Alerts2025-09-29
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Concurrent SFC-HKMA thematic review of the distribution of non-exchange traded investment products
The Securities and Futures Commission and the Hong Kong Monetary Authority will conduct a concurrent thematic review of intermediaries' distribution of collective investment schemes following significant sales growth. This examination will assess compliance with suitability requirements, including product due diligence, suitability assessments, and client information practices. The regulators intend to share findings with the industry and may issue further guidance based on the results.
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