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.
CIR
Current
Issue Date:
25 May 2018
20180525-2-EN.pdf (92.9 KB)
Topic:
Wealth Management & MPF - Securities/investment products
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
20 Dec 2012
Applicability of the Securities and Futures Commission (SFC)’s regulatory requirements to sale of structured products that are not regulated by the Securities and Futures Ordinance (SFO)
Directly related Document
CIR
Current
20 Dec 2012
Applicability of the Securities and Futures Commission (SFC)’s regulatory requirements to sale of structured products that are not regulated by the Securities and Futures Ordinance (SFO)
Version History
Superseded Document
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