Regulatory Alerts2025-09-29
Added · Updated
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 jointly issued this circular to outline a thematic review concerning the distribution of non-exchange traded investment products. The regulatory bodies are conducting this concurrent assessment to ensure that registered institutions adhere to appropriate standards in handling these specific investment vehicles. This initiative targets issues within the wealth management and MPF sectors to safeguard investor interests and maintain market integrity.
CIR
Current
Issue Date:
29 Sep 2025
20250929-1-EN.pdf (173.5 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Superseded Document
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