Regulatory Alerts2018-02-08
Added · Updated
Distribution of Fixed Income and Structured Products Annex 2
The Securities and Futures Commission issued this circular on 8 February 2018 to provide Annex 2 regarding the distribution of fixed income and structured products. The document serves as a supplementary component to the main regulatory guidance, addressing specific requirements for authorized institutions. It complements Annex 1 by outlining key observations and good practices noted in respect of the distribution of these financial instruments.
CIR
Current
Issue Date:
08 Feb 2018
20180208-3-EN.pdf (281.4 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Superseded Document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 1 - Key observations and good practices noted in respect of distribution of fixed income and structured products
CIR
Current
08 Feb 2018
Distribution of Fixed Income and Structured Products
Annex
Current
08 Feb 2018
Annex 1 - Key observations and good practices noted in respect of distribution of fixed income and structured products
Cross referenced Document
Version History
Superseded Document
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