Regulatory Alerts2018-05-25
Added · Updated
Disclosure Requirements Applicable to Non-SFO-regulated Structured Investment Products under Discretionary Accounts
The Securities and Futures Commission issued this circular to clarify regulatory requirements for the sale of structured investment products that are not regulated under the Securities and Futures Ordinance. It mandates that all authorized institutions adhere to specific disclosure standards when offering these non-SFO-regulated products through discretionary accounts. This guidance ensures consistent investor protection and transparency across wealth management and MPF sectors.
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