Regulatory Alerts2018-02-08
Added · Updated
Distribution of Fixed Income and Structured Products
The Securities and Futures Commission issued this circular on 8 February 2018 to outline key observations and good practices regarding the distribution of fixed income and structured products. The document targets all authorized institutions, providing regulatory guidance to enhance compliance and investor protection in wealth management activities. It serves as a normative reference for financial institutions to align their distribution practices with established industry standards.
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