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 for authorized institutions distributing fixed income and structured products. The document references an effective resolution regime for financial institutions and notes that specific guidance on selling accumulators has been superseded by a later HKMA circular. It serves as a regulatory framework to ensure proper conduct and risk management in the distribution of these investment products.
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