Regulatory Alerts2022-03-01
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 concurrent thematic review regarding the distribution of non-exchange traded investment products. The regulatory bodies require registered institutions to adhere to specific standards and practices to ensure appropriate risk management and investor protection during the distribution process. This guidance aims to enhance market integrity and compliance within the wealth management and MPF sectors by addressing key operational risks associated with these complex financial instruments.
CIR
Current
Issue Date:
01 Mar 2022
20220301-1-EN.pdf (240.9 KB)
Topic:
Miscellaneous - SFC/IA/MPFA
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
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Superseded Document
Directly related Document
Directly related Document
Cross referenced Document
Version History
Superseded Document
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