Regulatory Alerts2024-04-18
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 findings from their concurrent thematic review regarding the distribution of non-exchange traded investment products. The regulators identified key observations concerning the conduct and compliance of registered institutions in this sector. These findings highlight specific areas requiring attention to ensure appropriate distribution practices and investor protection standards are maintained.
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