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.
CIR
Current
Issue Date:
08 Feb 2018
20180208-2-EN.pdf (80.5 KB)
Topic:
Miscellaneous - SFC/IA/MPFA
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Superseded Document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
08 Feb 2018
Distribution of Fixed Income and Structured Products
Annex
Current
08 Feb 2018
Annex 2 - SFC circular on 25 Jan 2018
CIR
Current
08 Feb 2018
Distribution of Fixed Income and Structured Products
Annex
Current
08 Feb 2018
Annex 2 - SFC circular on 25 Jan 2018
Cross referenced Document
Version History
Superseded Document
You may also be interested in
CIR
Archive
02 Mar 2018
Fund Management Activities Survey 2017 Conducted by the Securities and Futures Commission ("SFC")
Annex 2: Questionnaire B
CIR
Archive
22 Feb 2010
Fund Management Activities Survey 2009 Conducted by the Securities and Futures Commission (SFC)
Annex: Fund Management Activities Survey
CIR
Archive
16 Feb 2015
Fund Management Activities Survey 2014 Conducted by the Securities and Futures Commission (SFC)
Annex: Securities and Futures Commission Fund Management Activities Survey For the year ended 31 December 2014