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.
CIR
Current
Issue Date:
18 Apr 2024
20240418-1-EN.pdf (250.7 KB)
Topic:
Miscellaneous - SFC/IA/MPFA
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
Annex
Current
18 Apr 2024
Annex 1 - Key observations by the Securities and Futures Commission
Annex
Current
18 Apr 2024
Annex 2 - Key observations by the Hong Kong Monetary Authority
CIR
Current
01 Mar 2022
Concurrent SFC-HKMA thematic review of the distribution of non-exchange traded investment products
Annex
Current
18 Apr 2024
Annex 1 - Key observations by the Securities and Futures Commission
Annex
Current
18 Apr 2024
Annex 2 - Key observations by the Hong Kong Monetary Authority
CIR
Current
01 Mar 2022
Concurrent SFC-HKMA thematic review of the distribution of non-exchange traded investment products
Version History
Superseded Document
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